James P. King

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CRD#: 864614

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.

James Patrick King was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1979. 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.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

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.

I CONDUCT INSURANCE BUSINESS AS A SOLE PROPRIETOR. THE BUSINESS IS PRIMARILY INVESTMENT RELATED. THE ADDRESS OF THE BUSINESS IS THE SAME AS MY OFFICE ADDRESS. THE BUSINESS INVOLVES THE SALE OF FIXED AND VARIABLE DEFERRED ANNUITIES, IMMEDIATE ANNUITIES, LIFE AND DISABILITY INSURANCE AND LONG TERM CARE INSURANCE. I STARTED DOING THIS BUSINESS IN 1981 AND DEVOTE ABOUT 1 HOUR ON AVERAGE PER WEEK DURING TRADING HOURS. I AM A DIRECTOR AND OFFICER OF J.P.KING ADVISORS, INC. (JPK), A SEC REGISTERED INVESTMENT ADVISER. THIS IS AN INVESTMENT RELATED BUSINESS. THE ADDRESS FOR THIS BUSINESS IS 1600 SO. MAIN ST., STE. 275, WALNUT CREEK, CA. 94596.THIS BUSINESS INVOLVES THE RENDERING OF INVESTMENT ADVICE FOR A FEE. JPK IS A CALIFORNIA CORPORATION AND I AM ITS PRESIDENT. I STARTED IN THIS POSITION IN 1981 AND DEVOTE APPROXIMATELY 40 HOURS PER WEEK TO IT DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 28, 2012 - September 30, 2025

J.P. KING ADVISORS, INC.

RIA

CRD#: 112109

WALNUT CREEK, CA

Past

June 13, 1989 - April 1, 2015

INVESTMENT ARCHITECTS, INC.

CRD#: 17774

WALNUT CREEK, CA

Past

February 16, 1988 - June 13, 1989

U.S. ADVISORS, INC.

CRD#: 10721

Past

December 24, 1987 - March 1, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

March 31, 1987 - December 24, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

Past

December 7, 1981 - February 23, 1987

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

Past

April 16, 1979 - September 24, 1981

EQUITEC SECURITIES COMPANY

CRD#: 6463

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

J.P. KING ADVISORS, INC.

J.P. KING & ASSOCIATES | JAMES PATRICK KING | J.P. KING ADVISORS, INC. | J.P. KING & ASSOCIATES, INC.

CRD#: 112109 / SEC#: 801-60296

RIA

Registered Investment Advisory firm - (5/23/2001 Approved)

California

Registered Investment Advisory firm - (4/5/2004 Cancelled)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

State Security Law Exam

Series 63

Date: 3/30/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/1/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 4/3/1979

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/27/1984

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 12/5/1980

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

Series 39

Date: 12/3/1980

Direct Participation Programs Principal Examination

Current Firm

J.P. KING ADVISORS, INC.

J.P. KING & ASSOCIATES | JAMES PATRICK KING | J.P. KING ADVISORS, INC. | J.P. KING & ASSOCIATES, INC.

CRD#: 112109 / SEC#: 801-60296

RIA

Registered Investment Advisory firm - (5/23/2001 Approved)

California

Registered Investment Advisory firm - (4/5/2004 Cancelled)

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Contact information

Main Address

1600 South Main Street Suite 275, Walnut Creek, CA 94596-8810

Mailing Address

Phone number

(925) 935-1555

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2B BROCHURE SUPPLEMENT (3/27/2025)

FORM ADV PART 2A BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,394
AUM (Assets Under Management)	$ 743,700,000

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.

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Advisor Monitoring

Firm Stability Insights

James P. King

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INVESTMENT ARCHITECTS, INC.

U.S. ADVISORS, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

FINANCIAL PLANNERS EQUITY CORPORATION

FINANCIAL PLANNERS EQUITY CORPORATION

EQUITEC SECURITIES COMPANY

Primary Firm SEC Registration

J.P. KING ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/30/1984

SIE

Date: 4/1/2015

Series 7

Date: 8/20/1983

Series 1

Date: 4/3/1979

Series 24

Date: 9/27/1984

Series 26

Date: 12/5/1980

Series 39

Date: 12/3/1980

Current Firm

J.P. KING ADVISORS, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

J.P. KING ADVISORS, INC.

TRUST BUT VERIFY

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