James Patrick King
Professional Summary
James Patrick King was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1979 - 2025. James had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 1, Series 24, Series 26 and Series 39 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
47 years in the financial services industry
Current & Past Employments
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Current Firm
J.P. KING & ASSOCIATES | JAMES PATRICK KING | J.P. KING ADVISORS, INC. | J.P. KING & ASSOCIATES, INC.
Contact Information
Main Address
1600 South Main Street Suite 275, Walnut Creek, CA 94596-8810Phone Number
(925) 935-1555# of Employees
7SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,440AUM (Assets Under Management)
$889,700,000Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
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Primary Firm SEC Registration
J.P. KING & ASSOCIATES | JAMES PATRICK KING | J.P. KING ADVISORS, INC. | J.P. KING & ASSOCIATES, INC.
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Apr 1979Series 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Dec 1980About the Series 26 examSeries 39 — Direct Participation Programs Principal Examination
Passed Dec 1980About the Series 39 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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