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ROY U KING
ROY U. KING II, ROY ULYSESS KING II, ROY U. KING II II, ROY ULYSESS KING II II
CRD#: 2754748
IA
B
MORGAN STANLEYCRD#: 149777 San Ramon, CA
0
Disclosures
28
Years of Experience
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State Registrations
B
Alabama 6/1/2009
B
Nebraska 3/23/2015
B
Alaska 3/23/2015
B
Nevada 3/23/2015
B
Arizona 6/1/2009
B
New Hampshire 3/23/2015
B
Arkansas 3/23/2015
B
New Jersey 6/1/2009
B
California 6/1/2009
B
New Mexico 6/1/2009
IA
California 3/30/2021
B
New York 6/1/2009
B
Colorado 6/1/2009
B
North Carolina 3/26/2015
B
Connecticut 6/1/2009
B
North Dakota 3/23/2015
B
Delaware 6/1/2009
B
Ohio 3/24/2015
B
District of Columbia 6/1/2009
B
Oklahoma 6/1/2009
B
Florida 6/1/2009
B
Oregon 6/1/2009
B
Georgia 6/1/2009
B
Pennsylvania 6/1/2009
B
Hawaii 6/1/2009
B
Puerto Rico 3/23/2015
B
Idaho 6/1/2009
B
Rhode Island 3/23/2015
B
Illinois 3/23/2015
B
South Carolina 3/23/2015
B
Indiana 6/1/2009
B
South Dakota 3/23/2015
B
Iowa 6/1/2009
B
Tennessee 3/23/2015
B
Kansas 3/23/2015
B
Texas 6/1/2009
B
Kentucky 6/1/2009
IA
Texas 10/5/2015
B
Louisiana 6/1/2009
B
Utah 3/23/2015
B
Maine 3/23/2015
B
Vermont 6/1/2009
B
Maryland 3/23/2015
B
Virgin Islands 3/23/2015
B
Massachusetts 6/1/2009
B
Virginia 6/1/2009
B
Michigan 6/1/2009
B
Washington 6/1/2009
B
Minnesota 6/1/2009
B
West Virginia 3/23/2015
B
Mississippi 3/23/2015
B
Wisconsin 6/1/2009
B
Missouri 6/1/2009
B
Wyoming 3/23/2015
B
Montana 3/23/2015
SRO Registrations
B
B
B
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/20/2000 - 06/01/2009 | MENLO PARK, CA | |
B | 09/17/1999 - 01/13/2000 | WALNUT CREEK, CA | |
B | 07/30/1996 - 07/15/1999 | WALNUT CREEK, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.