Phillip King, financial advisor Prestonsburg KY
83 score

Phillip King

CRD 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 28 years of experience in the finance industry.

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Company Name Location Dates Years
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
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Phillip D. King
Phone Number: 813-264-0440
Registered State(s):
  • KY
By the Numbers
  • Total Assets Under Management
    416
    MILLIONS
  • Total Number of Accounts
    2,834
    ACCOUNTS
  • Average Account Value
    $146,681
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • 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)
Types of Clients
Registered States

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

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BADGES
83

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