Phillip KingCRD Number: 1839137
Current Firm: Calton & Associates, Inc.
Phillip King (CRD# 1839137) is an Investment Advisor Representative working at Calton & Associates, Inc. in Prestonsburg, KY and has over 29 years of experience in the finance industry.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
U.s. Bancorp Investments, Inc.
|Calton & Associates, Inc.||Pikeville, KY||Jul 1999 - Current||17|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||May 1988|
|S65||NASAA Investment Advisors Law Examination||Jul 2004|
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 Management416MILLIONS
Total Number of Accounts2,834ACCOUNTS
Average Account Value$146,681
- 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
- Pension consulting services
- Selection of other advisers (including private fund managers)
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