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JAMES PATRICK KING
CRD#: 1662343
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 30 S WACKER DR STE 4000
CHICAGO, IL 60606
Registration History
199019952000200520102015202020252 FIRMS2003 - Present (21 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1989 - 2003 (13 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1988 - 1989 (<1 year)IAPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)2002 - 2003 (<1 year)
Disclosure(s)
View By:
9/22/2015
Customer Dispute
Denied
9/18/1989
Employment Separation After Allegations
License(s)

State Registrations

B
Arizona 7/1/2003

B
Minnesota 7/1/2003

B
California 7/1/2003

B
Missouri 7/1/2003

B
Colorado 7/1/2003

B
Nevada 11/28/2016

B
District of Columbia 5/19/2009

B
New Jersey 7/1/2003

B
Florida 7/1/2003

B
New Mexico 7/1/2003

B
Georgia 7/1/2003

B
New York 7/1/2003

B
Idaho 11/22/2016

B
Ohio 7/1/2003

B
Illinois 7/1/2003

B
Oklahoma 11/21/2016

IA
Illinois 7/1/2003

B
Oregon 7/1/2003

B
Indiana 7/1/2003

B
Pennsylvania 7/1/2003

B
Iowa 12/20/2021

B
Texas 7/1/2003

B
Kansas 12/5/2016

B
Vermont 4/21/2005

B
Kentucky 11/21/2016

B
Virginia 7/1/2003

B
Louisiana 11/21/2016

B
Washington 7/1/2003

B
Maryland 11/28/2016

B
West Virginia 12/5/2016

B
Massachusetts 7/1/2003

B
Wisconsin 7/1/2003

B
Michigan 7/1/2003

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
30 S WACKER DR STE 4000, CHICAGO, IL 60606
Western Springs, IL
Registered with this firm since 7/1/2003

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
30 S WACKER DR STE 4000, CHICAGO, IL 60606
Western Springs, IL
Registered with this firm since 7/1/2003

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/25/2002 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) CHICAGO, IL
B
11/02/1989 - 07/01/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
12/20/1988 - 10/11/1989 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.