Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin James King is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Kevin has been in the industry since August 18, 1999. Kevin's current firm is Merrill Lynch, Pierce, Fenner & Smith Inc. Kevin has been registered with the firm since February 2011. Previously, Kevin was a financial advisor at UBS Financial Services Inc. and Morgan Stanley DW Inc. Kevin is a licensed representative in Alabama, Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Illinois, Indiana, Louisiana, Maine, Maryland, Massachusetts, Michigan, Missouri, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, Tennessee, Texas, Utah, Virginia and Washington. Kevin is a Series 7, Series 10, Series 9, Series 31, and SIE licensed representative. Kevin is a licensed Investment Advisor Representative in Florida and Texas.
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
FL
02/18/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (AVENTURA FL)
FL
07/22/2005 - 02/25/2011
UBS FINANCIAL SERVICES INC. (AVENTURA FL)
NY
08/19/1999 - 07/26/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 09/11/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/29/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/29/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 08/18/1999
Series 7 - General Securities 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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