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Thomas Joseph King

LPl Enterprise, LLC

High Point, NC

High Point, NC

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Current Employers
Lpl Enterprise, Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-11-14
  • NC RA
    APPROVED
    Since 2024-11-14

Branch Locations

1301 Eastchester Dr Suite 202, High Point, NC 27265 • United States

2205 Eastchester Drive Suite 105, High Point, NC 27625 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Metlife Securities Inc. Greensboro NC 09/1992 03/2017
Mass Mutual High Point NC 07/2016 02/2021
Mml Investors Services, Llc High Point NC 03/2017 02/2021
Prudential Insurance Company Of America Greensboro NC 03/2021 Present
Pruco Securities, Llc. Greensboro NC 03/2021 11/2024
Lpl Enterprise, Llc High Point NC 11/2024 Present
  • 09/1992 → 03/2017
    Metlife Securities Inc.
    Greensboro, NC
  • 07/2016 → 02/2021
    Mass Mutual
    High Point, NC
  • 03/2017 → 02/2021
    Mml Investors Services, Llc
    High Point, NC
  • 03/2021 → Present
    Prudential Insurance Company Of America
    Greensboro, NC
  • 03/2021 → 11/2024
    Pruco Securities, Llc.
    Greensboro, NC
  • 11/2024 → Present
    Lpl Enterprise, Llc
    High Point, NC
Previous Registrations
  • 2021-03-03 → 2024-11-14
    Pruco Securities, Llc.
    Greenville, NC
    High Point, NC
    High Point, NC
  • 2017-03-25 → 2021-03-01
    Mml Investors Services, Llc
    High Point, NC
  • 2003-06-16 → 2017-03-25
    Msi Financial Services, Inc.
    Greensboro, NC
    Greensboro, NC
    High Point, NC
Other Businesses

1) 12/03/2024; MASS MUTUAL; Non variable ins; Yes inv related; 0 hr/mo non trading; 0 hr/mo trading; 03/21/2021

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-06-06
S63 Uniform Securities Agent State Law Examination 1993-07-02
  • S65 Uniform Investment Adviser Law Examination
    2003-06-06
  • S63 Uniform Securities Agent State Law Examination
    1993-07-02
Other Names
  • Tom King
  • Tom King
  • Thomas King

View on SEC IAPD

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OSAIC WEALTH, INC.
TRUIST ADVISORY SERVICES, INC.

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Warren Richard Lackey
BRADFORD CECIL CLINARD
WILLIAM WARREN ARMFIELD
Bradley Tomlin
JAMIE DAVID SLEDGE
Kurt Williams Shuler
WARREN CHAD CARRICK

Other Offices

EDWARD JONES · HIGH POINT, NC
LPL FINANCIAL LLC · HIGH POINT, NC
INDEPENDENT ADVISOR ALLIANCE, LLC · High Point, NC
SLEDGE AND COMPANY WEALTH ADVISORS · HIGH POINT, NC
WELLS FARGO CLEARING SERVICES, LLC · HIGH POINT, NC
CONCURRENT INVESTMENT ADVISORS, LLC · High Point, NC
EDWARD JONES · HIGH POINT, NC
EDWARD JONES · HIGH POINT, NC

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