Tony King: UBS Advisor Faces Unauthorized Trading Allegations

A recent investor complaint against Clayton, Missouri financial advisor Tony King (CRD# 6012568) alleges that he made unauthorized trades. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with UBS Financial Services.

Mr. King’s BrokerCheck report discloses one investor complaint. Filed in March 2025, it alleges that as a representative of UBS Financial Services, he failed to follow instructions to pause trading and made unauthorized trades. The pending complaint alleges unspecified damages.

UBS Financial Services’ website includes a profile of Mr. King that describes his experience and services as a member of King Wealth Management, a practice within the firm. “In 2021, Tony was promoted to Financial Advisor and now focuses on delivering UBS’ vast resources to clients including through Retirement, Philanthropic and Estate Planning, Tax-Optimized Investment Strategies and Asset Allocations, Structured Products, Sustainable Investing, and Alternative Investments,” it explains. “Tony leads the KWM Investment Committee to track and recommend investment strategies and asset allocation targets to Bud, the group’s managing director.”

Another page outside the practice’s services and philosophy. “We’re a team of seasoned financial professionals, driven to bring real change for you, your business or your organization,” it states. “Our goal is to help simplify your life so you have the freedom to fully assess your options, make wise financial decisions and move forward with confidence.”

According to the Financial Industry Regulatory Authority, Tony King holds seven years of securities industry experience. Based in Clayton, Missouri, he has been registered as a broker and an investment advisor with UBS Financial Services since 2017. His credentials include the passage of three securities industry qualifying exams: the Securities Industry Essentials Examination, or SIE; the General Securities Representative Examination, or Series 7; and the Uniform Combined State Law Examination, or Series 66. He holds 39 state licenses. (Information current as of May 4, 2025.)

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