Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Patrick King is a financial advisor with over 15 years of experience in the financial services industry. James is registered with B. Riley Wealth Advisors, Inc. and Diversify Advisory Services, LLC. James has a strong background in securities trading, investment management, and financial planning. James provides a range of financial services to individuals, families, and businesses, including investment management, retirement planning, and estate planning. James holds the Series 7, Series 55, Series 63, and Series 66 licenses.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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.
A percentage of the total value of assets under management is charged.
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NJ
10/21/2021 - Present
B. Riley Wealth Advisors, Inc. (Lincroft NJ)
FL
06/21/2021 - 07/22/2022
NATIONAL SECURITIES CORPORATION (BOCA RATON FL)
CA
10/15/2018 - 06/22/2021
EQUITABLE ADVISORS, LLC (LOS ANGELES CA)
NY
10/30/2008 - 09/14/2009
GFI SECURITIES LLC (NEW YORK NY)
BOTH
Issued 11/30/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/26/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/16/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/2018
Series 7 - General Securities Representative Examination
BC
Issued 05/15/2009
Series 55 - Limited Representative-Equity Trader Exam
Active
Inactive
F
FINRA
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