David J. King

AVANTAX PLANNING PARTNERS

Seven Fields, PA 16046

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CRD#: 1433235

Professional summary

David J King, who also goes by David James King, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Seven Fields, Pennsylvania and CETERA INVESTMENT ADVISERS LLC located in Seven Fields, Pennsylvania.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. David has worked at 22 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David James King

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)07-2007 -- Present Gierl Augustine & Associates, LLC 310 Seven Fields Blvd. Suite 161 Seven Fields, PA 16046 Agent, Sale of insurance and annuity products 10 hrs per month during securities trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David J King's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 14, 2024 - Present

AVANTAX PLANNING PARTNERS, INC.

Office #1: 310 Seven Fields Blvd Ste 300, Seven Fields, PA 16046

RIA

CRD#: 106237

Seven Fields, PA

Current

September 6, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 310 Seven Fields Blvd Ste 300, Seven Fields, PA 16046

RIA

CRD#: 105644

Seven Fields, PA

Current

March 23, 2025 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 15340

El Segundo, CA

Current

March 23, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 310 Seven Fields Blvd. Suite 161, Seven Fields, PA 16046

CRD#: 13572

Seven Fields, PA

Current

March 23, 2025 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245

CRD#: 10358

El Segundo, CA

Current

March 23, 2025 - Present

CETERA ADVISORS LLC

Office #1: 2301 Rosecrans Ave Ste #5100, El Segundo, CA 90245

CRD#: 10299

El Segundo, CA

Past

April 22, 2024 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Seven Fields, PA

Past

February 14, 2024 - September 8, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

Seven Fields, PA

Past

January 2, 2020 - February 5, 2024

STRATOS WEALTH ADVISORS LLC

RIA

CRD#: 283816

SEVEN FIELDS, PA

Past

September 2, 2014 - January 4, 2018

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Sarver, PA

Past

June 26, 2009 - June 19, 2020

GIERL AUGUSTINE INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 143008

SEVEN FIELDS, PA

Past

February 16, 2007 - September 11, 2014

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

SARVER, PA

Past

June 9, 2000 - February 20, 2007

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

CRANBERRY TWP, PA

Past

July 30, 1999 - April 28, 2000

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

July 30, 1999 - April 28, 2000

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

January 25, 1996 - July 20, 1999

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

December 21, 1994 - January 15, 1996

OLDE ECONOMIE FINANCIAL CONSULTANTS, LTD.

CRD#: 21304

BADEN, PA

Past

August 5, 1991 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

August 5, 1991 - December 20, 1994

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

September 15, 1989 - September 20, 1989

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

September 15, 1989 - March 7, 1991

RONEY & CO. L.L.C.

CRD#: 900

DETROIT, MI

Past

November 19, 1985 - September 16, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(9/5/2025)

Alaska
(9/5/2025)

Arizona
(9/5/2025)

Arkansas
(9/5/2025)

California
(9/5/2025)

Colorado
(9/5/2025)

Connecticut
(9/5/2025)

Delaware
(9/5/2025)

District of Columbia
(9/5/2025)

Florida
(9/5/2025)

Georgia
(9/5/2025)

Hawaii
(9/5/2025)

Idaho
(9/5/2025)

Illinois
(9/5/2025)

Indiana
(9/5/2025)

Iowa
(9/5/2025)

Kansas
(9/5/2025)

Kentucky
(9/5/2025)

Louisiana
(9/5/2025)

Maine
(9/5/2025)

Maryland
(9/5/2025)

Massachusetts
(9/5/2025)

Michigan
(9/5/2025)

Minnesota
(9/5/2025)

Mississippi
(9/5/2025)

Missouri
(9/5/2025)

Montana
(9/5/2025)

Nebraska
(9/5/2025)

Nevada
(9/5/2025)

New Hampshire
(9/5/2025)

New Jersey
(9/5/2025)

New Mexico
(9/5/2025)

New York
(9/5/2025)

North Carolina
(9/5/2025)

North Dakota
(9/5/2025)

Ohio
(9/5/2025)

Oklahoma
(9/5/2025)

Oregon
(9/5/2025)

IAR

Pennsylvania
(2/14/2024)

Pennsylvania
(9/5/2025)

Rhode Island
(9/5/2025)

South Carolina
(9/5/2025)

South Dakota
(9/5/2025)

Tennessee
(9/5/2025)

IAR

Texas
(2/14/2024)

Texas
(9/5/2025)

Utah
(9/5/2025)

Vermont
(9/5/2025)

Virgin Islands
(9/5/2025)

Virginia
(9/5/2025)

Washington
(9/5/2025)

West Virginia
(9/5/2025)

Wisconsin
(9/5/2025)

Wyoming
(9/5/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/20/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/12/2009

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6TO

Date: 4/22/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 4/2/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/16/1985

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

David J. King

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David J King's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

CETERA WEALTH SERVICES, LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

AVANTAX INVESTMENT SERVICES, INC.

AVANTAX ADVISORY SERVICES

STRATOS WEALTH ADVISORS LLC

PURSHE KAPLAN STERLING INVESTMENTS

GIERL AUGUSTINE INVESTMENT MANAGEMENT, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

ALLSTATE FINANCIAL SERVICES, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

HORNOR, TOWNSEND & KENT, LLC

OLDE ECONOMIE FINANCIAL CONSULTANTS, LTD.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

PRUDENTIAL EQUITY GROUP, LLC

RONEY & CO. L.L.C.

THOMSON MCKINNON SECURITIES INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/20/2024

Series 65

Date: 6/12/2009

Series 6TO

Date: 4/22/2024

SIE

Date: 4/2/2024

Series 7

Date: 11/16/1985

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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