Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames J King is an investment advisor representative at Merrill Lynch, Pierce, Fenner & Smith Inc. James has been in the industry since 2000 and has experience working with a range of clients including high-net-worth individuals, corporations, charitable organizations, pension and profit-sharing plans, and individuals other than high-net-worth. James also provides advisory services such as portfolio management for businesses and individuals, research reports and services, and selection of other advisors.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NC
07/07/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
NC
03/27/2013 - 05/23/2022
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
NC
03/11/2011 - 03/15/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
08/24/2005 - 03/10/2011
WELLS FARGO ADVISORS, LLC (CHARLOTTE NC)
MO
10/01/2000 - 12/11/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
03/23/2000 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
CO
09/27/1999 - 12/31/1999
MULTI-FINANCIAL SECURITIES CORPORATION (GREENWOOD VILLAGE CO)
NC
04/21/1998 - 09/08/1999
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
IA
Issued 01/28/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/01/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/29/2022
Series 4 - Registered Options Principal Examination
BC
Issued 12/27/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/29/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/23/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 06/13/2000
Series 7 - General Securities Representative Examination
BC
Issued 04/20/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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