Bradford S. 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.
Bradford Southwell King was a registered financial advisor .
Bradford is a previously registered financial advisor and started their career in finance in 1978. Bradford had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2006 - December 31, 2007
KING MONEY MANAGEMENT, INCORPORATED
January 13, 1994 - May 6, 1997
UBS FINANCIAL SERVICES INC.
July 17, 1992 - January 1, 1994
A. G. EDWARDS & SONS, INC.
August 22, 1991 - July 30, 1992
DEL MAR SECURITIES, INC.
January 15, 1990 - August 7, 1991
ADVEST, INC.
September 18, 1987 - December 5, 1989
LEHMAN BROTHERS INC.
February 19, 1986 - August 20, 1987
THOMSON MCKINNON SECURITIES INC.
January 11, 1983 - December 9, 1985
UBS FINANCIAL SERVICES INC.
March 19, 1979 - January 24, 1983
LEHMAN BROTHERS INC.
November 27, 1978 - April 13, 1979
E. F. HUTTON & COMPANY 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
Current firm
No current employment
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.
