DK
David M. King
U.S. CAPITAL WEALTH ADVISORS
AUSTIN, TX 78701
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CRD#: 2446459
DK
Professional summary
David Michael King is a registered financial advisor currently at U.S. CAPITAL WEALTH ADVISORS, LLC located in Austin, Texas and USCA ASSET MANAGEMENT LLC 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 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) BADGER MIDSTREAM ENERGY LP, INVESTMENT-RELATED, 919 MILAM ST., SUITE 2400, HOUSTON, TX 77002, BOARD OF DIRECTORS, 04/2013, 5 HOURS/MONTH DEVOTED TO ACTIVITY, 3 HOURS/MONTH DEVOTED TO ACTIVITY DURING SECURITIES TRADING HOURS, VOTE ON MATTERS INCLUDING APPROVAL OF ANNUAL BUDGET AND FINANCING ACTIVITIES. 2) MANAGING MEMBER OF VARIOUS GENERAL PARTNERSHIPS OF USCA FEEDER FUNDS, INVESTMENT-RELATED, HOUSTON, TX 77027, 2012-2013, LESS THAN 1 HOUR PER MONTH DEVOTED TO ACTIVITIES, LESS THAN 1 HOUR PER MONTH DEVOTED TO ACTIVITIES DURING SECURITIES TRADING HOURS, EXECUTE DOCUMENTS, REVIEW FEEDER FUND FINANCIALS, APPROVE CAPITAL CALLS, APPROVE DISTRIBUTIONS, ISSUE SHAREHOLDER COMMUNICATIONS. GENERAL PARTNERSHIPS INCLUDE: USCA CR FUND II GP LLC, USCA BPCAP GP LLC, USCA LL&B CO-INVESTMENT GP LLC, USCA LL&B CO-INVESTMENT II GP LLC, USCA BADGER MIDSTREAM MANAGEMENT COMPANY LLC, USCA SEVGEN GP LLC. 3. Arena Blanco LLC, Investment Related, Houston TX, Rental Property, Owner, May 2017, 5 hours/month - none during market hours. 4. USCA Securities, LLC; Investment-related; Houston, TX; broker dealer; registered representative; managing partner; 01/2011; >1 hour/month; 1-8 during trading hours; broker 5. US Capital Wealth Advisors, LLC; Investment-related; Houston, TX; Registered Investment Advisor; financial advisor; 06/2021; >1 hour/month; 1-8 during trading hours; advisor 6. 13Capital LLC; Investment-related; Austin,TX; exempt investment advisor; managing member of LLC; 04/2022; 45 hrs/month; 25 during trading hours; responsible for investment decisions on behalf of the 13Capital
CRS (Client Relationship Summary) - RIA
Click below to view David Michael 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®
NoneExperience
Current
June 30, 2021 - Present
U.S. CAPITAL WEALTH ADVISORS, LLC
Office #1: 300 West 6th Street Suite 1900, Austin, TX 78701RIA
CRD#: 288199
AUSTIN, TX
Current
October 26, 2023 - Present
USCA ASSET MANAGEMENT LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027RIA
CRD#: 137045
Houston, TX
Current
January 13, 2011 - Present
USCA SECURITIES LLC
Office #1: 4444 Westheimer Suite G500, Houston, TX 77027BD
CRD#: 103789
Houston, 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.
BD
CRD#: 8174
HOUSTON, TX
Past
January 13, 2001 - July 11, 2002
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
April 7, 1999 - January 13, 2001
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
August 17, 1995 - April 14, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
July 21, 1994 - December 31, 1994
PACIFIC CORTEZ SECURITIES INCORPORATED
BD
CRD#: 24341
SAN DIEGO, CA
Past
February 24, 1994 - July 27, 1994
MOORS & CABOT, INC.
BD
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".
UC
U.S. CAPITAL WEALTH ADVISORS, LLC
LEGACY ONE FINANCIAL ADVISORS, LLC | U.S. CAPITAL WEALTH ADVISORS, LLC
CRD#: 288199 / SEC#: 801-110515
RIA
Registered Investment Advisory firm - (5/3/2017 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.RR
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
RR
Alabama(1/13/2011)
RR
Alaska(2/28/2022)
RR
Arizona(1/13/2011)
RR
California(1/13/2011)
RR
Colorado(1/13/2011)
RR
Connecticut(1/13/2011)
RR
Delaware(1/13/2011)
RR
Florida(1/13/2011)
RR
Georgia(1/13/2011)
RR
Hawaii(2/1/2016)
RR
Illinois(1/13/2011)
RR
Kansas(1/20/2011)
RR
Massachusetts(1/13/2011)
RR
Michigan(1/13/2011)
RR
Minnesota(1/13/2011)
RR
Missouri(2/4/2011)
RR
New Jersey(1/13/2011)
RR
New Mexico(1/13/2011)
RR
New York(1/13/2011)
RR
North Carolina(1/13/2011)
RR
Ohio(1/14/2011)
RR
Oklahoma(1/13/2011)
RR
Oregon(1/13/2011)
RR
Pennsylvania(1/13/2011)
RR
South Carolina(4/13/2020)
RR
Texas(1/13/2011)
IAR
Texas(6/30/2021)
RR
Vermont(2/8/2011)
RR
Wisconsin(1/27/2011)
RR
Wyoming(1/13/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
Current Firm
UC
U.S. CAPITAL WEALTH ADVISORS, LLC
LEGACY ONE FINANCIAL ADVISORS, LLC | U.S. CAPITAL WEALTH ADVISORS, LLC
CRD#: 288199 / SEC#: 801-110515
RIA
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Contact information
Main Address
4444 Westheimer Rd. Suite G500, Houston, TX 77027
Mailing Address
Phone number
(713) 366-0500
Established
Firm type
Fiscal year end
# of Employees
133
SEC notice filing (48 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 10,833 |
| AUM (Assets Under Management) | $ 7,282,480,817 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 01/23/2024 | ||
| 03/24/2023 |
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.
