Pendleton 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.
Pendleton King Sr., who also goes by Pen King Sr., Pen King, Pendleton King, King Pendleton, was a registered financial professional .
Pendleton is a previously registered financial professional and started their career in finance in 1977. Pendleton had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 7, PC and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2007 - May 5, 2023
WESTERN INTERNATIONAL SECURITIES, INC.
April 9, 2004 - March 20, 2007
JVB FINANCIAL GROUP, LLC
October 3, 2000 - April 14, 2004
FIRST ALLIED SECURITIES, INC.
April 3, 1995 - October 26, 2000
D.E. FREY & COMPANY, INC.
March 6, 1995 - March 28, 1995
D.E. FREY & COMPANY, INC.
October 22, 1991 - March 9, 1995
S.N. PHELPS & CO.
March 8, 1990 - January 7, 1991
CREDIT SUISSE SECURITIES (USA) LLC
April 27, 1985 - March 14, 1990
SALOMON BROTHERS INC.
October 24, 1978 - February 22, 1979
LOEB PARTNERS
July 1, 1977 - July 22, 1978
SBC WARBURG DILLON READ INC.
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 6/1/1977
AMEX Put and Call ExamCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
