Lauren Michelle King

Investment Adviser Representative at COMPASS ADVISORS

Melville, NYCRD #4629988Dual-registered

No disclosures on record

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

23 yrs

States Registered

4 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 4 states

ConnecticutFloridaNew YorkTexas

Examinations passed

Series 66

Uniform Combined State Law Examination

Passed 12/20/2010

Series 99TO

Operations Professional Examination

Passed 1/2/2023

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 7

General Securities Representative Examination

Passed 11/10/2010

Series 86

Research Analyst Exam - Part I Analysis Module

Passed 2/17/2005

Series 87

Research Analyst Exam - Part II Regulations Module

Passed 1/31/2005

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Source

COMPASS ADVISORS Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

PURSHE KAPLAN STERLING INVESTMENTSCurrent

5/15/2017 – Melville, NY

BROWN BROTHERS HARRIMAN & CO.

3/13/2003 – 10/23/2003NEW YORK, NY

SANFORD C. BERNSTEIN & CO., LLC

11/14/2003 – 7/13/2005NASHVILLE, TN

LPL FINANCIAL LLC

11/11/2010 – 5/31/2017PLAINVIEW, NY

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Lauren Michelle King has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.