David A. King

COMPASS FINANCIAL MANAGEMENT | Associate Financial Advisor

North Richland Hills, TX

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CRD#: 2696068

Professional summary

David Alan King, who also goes by David Alan King, David A King, David King, is a registered financial advisor currently at COMPASS FINANCIAL MANAGEMENT LLC located in North Richland Hills, Texas and LPL ENTERPRISE, LLC located in Plano, Texas.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. David has worked at 16 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Retirement Planning Strategies

Investments

Wealth Preservation Strategies

Are you a "fiduciary"?

Yes

Aliases

David Alan King | David A King | David 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view David Alan 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

November 24, 2025 - Present

COMPASS FINANCIAL MANAGEMENT LLC

RIA

CRD#: 156345

North Richland Hills, TX

Current

May 6, 2026 - Present

LPL ENTERPRISE, LLC

Office #1: 5700 Granite Pkwy Suite 360, Plano, TX 75024

RIA

CRD#: 8733

PLANO, TX

Current

May 6, 2026 - Present

LPL ENTERPRISE, LLC

Office #1: 5700 Granite Pkwy Suite 360, Plano, TX 75024

RIA

CRD#: 8733

PLANO, TX

Past

August 1, 2025 - December 4, 2025

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

North Richland Hills, TX

Past

August 1, 2025 - December 4, 2025

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

North Richland Hills, TX

Past

July 29, 2024 - June 9, 2025

SIMPLICITY WEALTH

RIA

CRD#: 300572

North Richland Hills, TX

Past

August 21, 2020 - July 5, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

HURST, TX

Past

August 21, 2020 - July 5, 2024

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

HURST, TX

Past

November 1, 2017 - September 1, 2020

CETERA WEALTH SERVICES, LLC

CRD#: 13572

COLLEYVILLE, TX

Past

June 1, 2012 - September 18, 2020

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

IRVING, TX

Past

May 18, 2012 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

IRVING, TX

Past

October 23, 2009 - May 22, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

FORT WORTH, TX

Past

October 23, 2009 - May 22, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

FORT WORTH, TX

Past

May 28, 2004 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

GRAPEVINE, TX

Past

May 28, 2004 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

GRAPEVINE, TX

Past

May 4, 2001 - June 16, 2004

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HURST, TX

Past

May 4, 2001 - June 16, 2004

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 15, 1999 - May 7, 2001

WFG INVESTMENTS, INC.

CRD#: 22704

DALLAS, TX

Past

October 12, 1999 - October 15, 1999

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

November 17, 1997 - October 12, 1999

NATIONAL SECURITIES CORPORATION

CRD#: 7569

BOCA RATON, FL

Past

February 7, 1996 - October 31, 1997

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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

IAR

Texas
(11/24/2025)

Texas
(5/6/2026)

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: 7/15/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/8/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 8/1/2025

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/6/1996

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORNINGSTAR, MATTHEW EDWIN	CHIEF LEGAL OFFICER	2510742
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

David A. King

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

LPL ENTERPRISE, LLC

LPL ENTERPRISE, LLC

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

SIMPLICITY WEALTH

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

CETERA WEALTH SERVICES, LLC

UNITED CAPITAL FINANCIAL ADVISORS

GIRARD SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WFG INVESTMENTS, INC.

LPL FINANCIAL LLC

NATIONAL SECURITIES CORPORATION

EDWARD JONES

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/15/2000

Series 63

Date: 2/8/1996

Series 6TO

Date: 8/1/2025

SIE

Date: 10/1/2018

Series 7

Date: 2/6/1996

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

Contact information

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