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KURT DOUGLAS KING
CRD#: 3063537
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 100 PRINGLE AVE
STE 420
WALNUT CREEK, CA 94596-7385
STE 420
WALNUT CREEK, CA 94596-7385
0
Disclosures
26
Years of Experience
View By:
State Registrations
B
Alaska 3/19/2025
B
Nevada 7/17/2015
B
Arizona 7/17/2015
B
Oklahoma 7/20/2021
B
California 7/17/2015
B
Oregon 7/17/2015
IA
California 7/17/2015
B
Tennessee 3/31/2025
B
Florida 6/15/2017
B
Texas 3/19/2025
B
Hawaii 1/3/2017
IA
Texas 3/19/2025
B
Illinois 3/19/2025
B
Utah 3/19/2025
B
Indiana 3/19/2025
B
Washington 7/17/2015
B
Maryland 3/19/2025
SRO Registrations
B
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IA
Registered with this firm since 7/17/2015
B
Registered with this firm since 7/17/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/01/2008 - 07/20/2015 | WALNUT CREEK, CA | |
B | 01/01/2008 - 07/20/2015 | WALNUT CREEK, CA | |
B | 10/13/1999 - 01/03/2008 | WALNUT CREEK, CA | |
IA | 03/29/2001 - 01/01/2008 | WALNUT CREEK, CA | |
B | 06/19/1998 - 10/18/1999 | 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.