David S. King

ROGERS FINANCIAL ADVISORY GROUP

GREENVILLE, SC 29601

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CRD#: 2608635

Professional summary

David S. King, who also goes by David Scott King, is a registered financial advisor currently at ROGERS FINANCIAL ADVISORY GROUP, LLC located in Greenville, South Carolina and OSAIC WEALTH, INC. located in Greenville, South Carolina.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. David has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Scott 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) ROGERS FINANCIAL GROUP; 7 BOYCE AVENUE, GREENVILLE, SC 29601; INVESTMENT RELATED, COMPLIANCE OFFICER, EMPLOYEE, BEGIN 07/2006, 30 HRS/MO, COMPLIANCE REVIEW OF INVESTMENT BUSINESS. 2) David King, Yes, 7 Boyce Avenue, Greenville, SC 29601, Agent, 03/30/1995, 10, 5, Selling Life, LTC, and Fixed Insurance 3) David King, No, 7 Boyce Avenue, Greenville, SC 29601, Tax Preparer, 01/01/1999, 10, 10, Tax preparation for individuals 4) Rogers Financial Advisory Group, LLC, Yes, 7 Boyce Avenue, Greenville, SC 29601, 100, 75, Investment management and financial planning

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David S. 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 2, 2004 - Present

ROGERS FINANCIAL ADVISORY GROUP, LLC

Office #1: 7 Boyce Avenue, Greenville, SC 29601

RIA

CRD#: 130223

GREENVILLE, SC

Current

May 17, 1995 - Present

OSAIC WEALTH, INC.

Office #1: 7 Boyce Avenue, Greenville, SC 29601

RIA

CRD#: 23131

Greenville, SC

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

Colorado
(8/5/2016)

Connecticut
(6/27/2006)

Florida
(10/2/2013)

Georgia
(12/14/1998)

Hawaii
(10/2/2013)

Illinois
(7/30/2009)

Indiana
(6/27/2006)

Kansas
(7/7/2023)

Kentucky
(11/13/2002)

Maine
(6/27/2006)

Maryland
(10/1/2001)

Massachusetts
(2/11/2011)

Michigan
(3/23/2004)

Minnesota
(8/13/2015)

Mississippi
(7/8/2015)

Missouri
(10/9/2025)

Montana
(6/27/2006)

New Hampshire
(2/11/2011)

New Jersey
(7/12/2010)

New York
(10/2/2013)

North Carolina
(9/29/1998)

Ohio
(2/12/2003)

Oregon
(6/27/2006)

Pennsylvania
(10/2/2013)

South Carolina
(5/17/1995)

IAR

South Carolina
(7/2/2004)

Tennessee
(4/24/2023)

Texas
(10/2/2013)

Vermont
(10/8/2008)

Virginia
(6/23/2000)

Wyoming
(7/19/2012)

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: 6/4/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/16/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/9/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/16/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 5/10/2006

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/12/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ROGERS FINANCIAL ADVISORY GROUP, LLC

CRD#: 130223 / SEC#:

South Carolina

Registered Investment Advisory firm - (4/8/2004 Approved)

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Contact information

Main Address

7 Boyce Avenue, Greenville, SC 29601

Mailing Address

Phone number

(864) 250-1376

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	153
AUM (Assets Under Management)	$ 35,677,594

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 S. King

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/4/2004

Series 63

Date: 5/16/1995

SIE

Date: 10/1/2018

Series 7

Date: 10/9/1996

Series 6

Date: 5/16/1995

Series 51

Date: 5/10/2006

Series 24

Date: 10/12/2000

FINRA

Current Firm

ROGERS FINANCIAL ADVISORY GROUP, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROGERS FINANCIAL ADVISORY GROUP, LLC

TRUST BUT VERIFY

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