Roger E. King

REK ADVISORS

Houston, TX 77005-2489

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CRD#: 1794250

Professional summary

Roger Earl King, who also goes by Roger E. King, Roger King, is a registered financial advisor currently at REK ADVISORS, INC. located in Houston, Texas.

Roger is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Roger has worked at 2 firms and has passed the Series 65, Series 63 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roger E. King | Roger 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.

KING INVESTMENT ADVISORS INC, INVESTMENT RELATED, HOUSTON TX, PRESIDENT, START DATE 01/1981.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Earl King's 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

July 22, 1986 - Present

REK ADVISORS, INC.

Office #1: 5615 Kirby Drive Suite 630, Houston, TX 77005-2489

RIA

CRD#: 108198

Houston, TX

Past

March 17, 2015 - July 5, 2017

OXBOW ADVISORS, LLC

RIA

CRD#: 156393

CORPUS CHRISTI, TX

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.

Highlighted states indicate IAR registrations

IAR

Texas
(7/22/1986)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/30/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/12/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 2

Date: 12/30/1993

Non-Member General Securities Examination

Current Firm

REK ADVISORS, INC.

KING INVESTMENT ADVISORS, INC. | REK ADVISORS, INC.

CRD#: 108198 / SEC#: 801-27224

RIA

Registered Investment Advisory firm - (4/12/2016 Terminated)

Texas

Registered Investment Advisory firm - (4/4/2016 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

5615 Kirby Drive Suite 630, Houston, TX 77005-2489

Mailing Address

5615 Kirby Drive Suite 630, Houston, TX 77005-2489

Phone number

(713) 360-6849

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Contact information

xxxxx@xxxx.xxx

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Roger E. King

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Earl King's CRS (Customer Relationship Summary).

Certified licenses

Experience

REK ADVISORS, INC.

OXBOW ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/30/1992

Series 63

Date: 1/12/1988

Series 2

Date: 12/30/1993

Current Firm

REK ADVISORS, INC.

Contact information

Documents

Red Flags

Company Information

REK ADVISORS, INC.

TRUST BUT VERIFY

Contact information

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