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ANDREW P KING
ANDREW PETER KING, ANDREW KING
CRD#: 5782308
IA
B
OSAIC WEALTH, INC.CRD#: 23131 13777 BALLANTYNE CORPORATE PLACE
SUITE 550
CHARLOTTE, NC 28277
SUITE 550
CHARLOTTE, NC 28277
0
Disclosures
14
Years of Experience
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State Registrations
B
Alabama 12/6/2021
B
New Hampshire 10/22/2024
B
Alaska 5/17/2022
B
New York 3/19/2024
B
California 12/6/2023
B
North Carolina 11/2/2018
B
Florida 11/2/2018
IA
North Carolina 11/2/2018
B
Georgia 7/23/2020
B
South Carolina 11/2/2018
B
Illinois 8/29/2019
IA
South Carolina 10/6/2020
B
Kentucky 2/2/2022
B
Texas 11/2/2018
B
Missouri 11/2/2018
SRO Registrations
B
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IA
Registered with this firm since 11/2/2018
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Registered with this firm since 11/2/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/04/2017 - 11/02/2018 | CHARLOTTE, NC | |
B | 08/04/2017 - 11/02/2018 | CHARLOTTE, NC | |
IA | 03/25/2017 - 08/07/2017 | Cornelius, NC | |
B | 03/25/2017 - 08/07/2017 | Cornelius, NC | |
IA | 05/24/2011 - 03/25/2017 | CHARLOTTE, NC | |
B | 05/24/2010 - 03/25/2017 | CHARLOTTE, NC |
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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.