William T. King
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Taylor King, who also goes by Bill King Jr, William T King, William Taylor King Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1976. William had worked at 13 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2018 - December 27, 2018
SECURITIES AMERICA, INC.
May 8, 2015 - July 2, 2015
QUESTAR ASSET MANAGEMENT, INC.
May 8, 2015 - July 2, 2018
QUESTAR CAPITAL CORPORATION
April 23, 2012 - April 30, 2015
KESTRA INVESTMENT SERVICES, LLC
April 23, 2012 - April 30, 2015
KESTRA INVESTMENT SERVICES, LLC
February 18, 2011 - April 19, 2012
FINANCIAL TELESIS INC
May 5, 2010 - April 19, 2012
FINANCIAL TELESIS INC
November 17, 2008 - June 2, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 30, 2008 - June 2, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 11, 2006 - October 6, 2008
OSAIC FS, INC.
April 28, 2004 - October 6, 2008
OSAIC FS, INC.
May 5, 2003 - May 11, 2004
MML INVESTORS SERVICES, LLC
January 25, 2003 - May 11, 2004
MML INVESTORS SERVICES, LLC
November 25, 1997 - January 16, 2003
OSAIC FS, INC.
August 28, 1986 - August 29, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
July 3, 1986 - September 12, 1986
CONSECO FINANCIAL SERVICES, INC.
January 17, 1984 - July 3, 1986
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
October 20, 1980 - September 6, 1984
EQUITABLE ADVISORS, LLC
November 24, 1976 - September 6, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 11/13/1976
Registered Representative ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
