David M. King

USCA ASSET MANAGEMENT

HOUSTON, TX 77027

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CRD#: 2446459

Professional summary

David Michael King is a registered financial advisor currently at USCA ASSET MANAGEMENT LLC located in Houston, Texas and ARAX ADVISORY PARTNERS located in Houston, Texas.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. David has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7 and Series 24 exams.

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael 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

October 26, 2023 - Present

USCA ASSET MANAGEMENT LLC

Office #1: 4444 Westheimer Suite G500, Houston, TX 77027

RIA

CRD#: 137045

HOUSTON, TX

Current

July 19, 2026 - Present

ARAX ADVISORY PARTNERS

Office #1: 4444 Westheimer Road Suite G500, Houston, TX 77027

RIA

CRD#: 133535

Houston, TX

Current

January 13, 2011 - Present

USCA SECURITIES LLC

Office #1: 4444 Westheimer Suite G500, Houston, TX 77027

CRD#: 103789

HOUSTON, TX

Past

June 30, 2021 - July 21, 2026

U.S. CAPITAL WEALTH ADVISORS, LLC

RIA

CRD#: 288199

AUSTIN, TX

Past

March 29, 2016 - August 24, 2021

USCA ASSET MANAGEMENT LLC

RIA

CRD#: 137045

HOUSTON, TX

Past

January 13, 2011 - June 30, 2021

USCA RIA LLC

RIA

CRD#: 152170

HOUSTON, TX

Past

July 3, 2002 - January 21, 2011

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HOUSTON, TX

Past

July 3, 2002 - January 21, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

HOUSTON, TX

Past

January 13, 2001 - July 11, 2002

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

April 7, 1999 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

August 17, 1995 - April 14, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 21, 1994 - December 31, 1994

PACIFIC CORTEZ SECURITIES INCORPORATED

CRD#: 24341

SAN DIEGO, CA

Past

February 24, 1994 - July 27, 1994

MOORS & CABOT, INC.

CRD#: 594

BOSTON, MA

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".

ARAX ADVISORY PARTNERS

CRD#: 133535 / SEC#: 801-67165

RIA

Registered Investment Advisory firm - (9/20/2006 Approved)

California

Registered Investment Advisory firm - (10/18/2006 Terminated)

Colorado

Registered Investment Advisory firm - (11/14/2006 Terminated)

Georgia

Registered Investment Advisory firm - (5/24/2012 Terminated)

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).

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
(1/13/2011)

Alaska
(2/28/2022)

Arizona
(1/13/2011)

California
(1/13/2011)

Colorado
(1/13/2011)

Connecticut
(1/13/2011)

Delaware
(1/13/2011)

Florida
(1/13/2011)

Georgia
(1/13/2011)

Hawaii
(2/1/2016)

Illinois
(1/13/2011)

Kansas
(1/20/2011)

Massachusetts
(1/13/2011)

Michigan
(1/13/2011)

Minnesota
(1/13/2011)

Missouri
(2/4/2011)

New Jersey
(1/13/2011)

New Mexico
(1/13/2011)

New York
(1/13/2011)

North Carolina
(1/13/2011)

Ohio
(1/14/2011)

Oklahoma
(1/13/2011)

Oregon
(1/13/2011)

Pennsylvania
(1/13/2011)

South Carolina
(4/13/2020)

Texas
(1/13/2011)

IAR

Texas
(10/26/2023)

Vermont
(2/8/2011)

Wisconsin
(1/27/2011)

Wyoming
(1/13/2011)

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

IAR

Series 65

Date: 8/25/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/8/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/28/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/25/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/1/2011

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

Current Firm

ARAX ADVISORY PARTNERS

CRD#: 133535 / SEC#: 801-67165

RIA

Registered Investment Advisory firm - (9/20/2006 Approved)

California

Registered Investment Advisory firm - (10/18/2006 Terminated)

Colorado

Registered Investment Advisory firm - (11/14/2006 Terminated)

Georgia

Registered Investment Advisory firm - (5/24/2012 Terminated)

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Contact information

Main Address

730 17th Street Suite 107, Denver, CO 80202

Mailing Address

Phone number

(303) 633-5900

Established

Firm type

Fiscal year end

# of Employees

106

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AAP FORM ADV PART 2A 11172025 (11/17/2025)

Regulatory assets under management

Total Number of Accounts	16,559
AUM (Assets Under Management)	$ 8,960,126,874

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 M. King

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ARAX ADVISORY PARTNERS

USCA SECURITIES LLC

U.S. CAPITAL WEALTH ADVISORS, LLC

USCA ASSET MANAGEMENT LLC

USCA RIA LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PACIFIC CORTEZ SECURITIES INCORPORATED

MOORS & CABOT, INC.

Primary Firm SEC Registration

ARAX ADVISORY PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/25/1995

Series 63

Date: 3/8/1994

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 7/28/2004

Series 7

Date: 1/25/1994

Series 24

Date: 3/1/2011

FINRA

Investors' Exchange LLC

Current Firm

ARAX ADVISORY PARTNERS

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARAX ADVISORY PARTNERS

TRUST BUT VERIFY

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