Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Lawton King is a financial advisor with over 40 years of experience in the industry. Joseph is currently registered with Robert W. Baird & Co. Inc. and has previously held positions at J.J.B. HILLIARD, W.L. LYONS, LLC, SHEARSON LEHMAN HUTTON INC., E. F. HUTTON & COMPANY INC and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Joseph specializes in a wide range of investment products and services, including portfolio management for individuals, businesses, and investment companies. Joseph holds the Series 7, 8, 9, 10, 63 and 65 licenses, and is registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Joseph is committed to providing clients with personalized financial advice and guidance to help them achieve their financial goals.
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.
Strategic management for diversified investment portfolios.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
KY
10/18/2019 - Present
Robert W. Baird & Co. Inc. (Louisville KY)
KY
03/18/1988 - 10/18/2019
J.J.B. HILLIARD, W.L. LYONS, LLC (LOUISVILLE KY)
NA
03/07/1988 - 04/19/1988
SHEARSON LEHMAN HUTTON INC.
NA
05/23/1980 - 03/07/1988
E. F. HUTTON & COMPANY INC
NA
09/26/1978 - 06/23/1980
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
12/05/1977 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 12/16/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/20/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/09/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/1977
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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