William KingCRD Number: 1076526
Current Firm: Next Financial Group, Inc.
William King (CRD# 1076526) is an Investment Advisor Representative working at Next Financial Group, Inc. in Madison, AL and has over 35 years of experience in the finance industry.
Raymond James & Associates, Inc.
Brol Capital Management, LLC
H.d. Vest Advisory Services, Inc.
|Next Financial Group Inc.||Madison, AL||May 2010 - Current||7|
|Ameriprise Financial Services, Inc.||Huntsville, AL||Oct 2009 - May 2010||< 1|
|H&r Block Financial Advisors, Inc.||Huntsville, AL||Jul 2005 - Oct 2009||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1983|
|S66||NASAA Uniform Combined State Law Examination||Aug 2007|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management1,650MILLIONS
Total Number of Accounts7,792ACCOUNTS
Average Account Value$211,712
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV