Richard D. King

CETERA INVESTMENT ADVISERS LLC

ESCONDIDO, CA 92025

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CRD#: 2950453

Professional summary

Richard Douglas King, who also goes by Rick King, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Escondido, California and CETERA WEALTH SERVICES, LLC located in Escondido, California.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Richard has worked at 12 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick 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) RICHARD D KING, CPA POSITION: Owner NATURE: Do Individual, Corporate, Partnership tax return Do Payroll for companies Do writeup work for companies INVESTMENT RELATED: No NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 40 START DATE: 10/31/2003 ADDRESS: 260 W. Crest St. Ste. A, Escondido CA 92025, United States DESCRIPTION: Do all work do complete tax returns Do bookkeeping for Businesses Do Payroll for Businesses 2) KING REAL ESTATE POSITION: Owner NATURE: I Have an active Real Estate Brokers license that I keep active for personal investment purposes if I need to buy/sell a home. I haven't acted as an agent in the last 10 years INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/30/2006 ADDRESS: 260 W Crest St, Suite A, ESCONDIDO CA 92025, United States DESCRIPTION: Currently, I'm not conducting any business. however in the past I'd complete the following: marketing, bookkeeping, accounting, investing, etc

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Douglas 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

September 5, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 260 W Crest St Suite A, Escondido, CA 92025

RIA

CRD#: 105644

ESCONDIDO, CA

Current

September 5, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 260 W. Crest Street Suite A, Escondido, CA 92025

CRD#: 13572

Escondido, CA

Past

May 26, 2022 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

Escondido, CA

Past

May 24, 2022 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

ESCONDIDO, CA

Past

September 10, 2019 - May 28, 2020

INTEGRITY ALLIANCE, LLC.

RIA

CRD#: 139627

Escondido, CA

Past

September 9, 2019 - May 28, 2020

INTEGRITY ALLIANCE, LLC.

CRD#: 139627

Escondido, CA

Past

May 22, 2018 - September 9, 2019

ARCHER INVESTMENT CORPORATION

RIA

CRD#: 136403

San Marcos, CA

Past

July 20, 2012 - June 1, 2018

AVANTAX ADVISORY SERVICES

RIA

CRD#: 104556

ESCONDIDO, CA

Past

January 30, 2012 - June 1, 2018

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

SAN MARCOS, CA

Past

November 2, 2009 - June 4, 2012

CAPITAL RESOURCE MANAGEMENT, INC.

RIA

CRD#: 124652

ESCONDIDO, CA

Past

June 6, 2008 - March 20, 2009

PARTNERVEST ADVISORY SERVICES LLC

RIA

CRD#: 113621

SAN MARCOS, CA

Past

June 6, 2008 - March 20, 2009

PARTNERVEST SECURITIES, INC.

CRD#: 104134

SAN MARCOS, CA

Past

September 27, 2006 - June 16, 2008

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SAN MARCOS, CA

Past

September 27, 2006 - June 16, 2008

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SAN MARCOS, CA

Past

February 8, 2006 - October 11, 2006

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

SAN MARCOS, CA

Past

January 21, 2004 - October 11, 2006

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

SAN MARCOS, CA

Past

October 16, 1997 - December 31, 2002

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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.

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

California
(9/5/2025)

IAR

California
(9/5/2025)

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: 7/18/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/27/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 2/15/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/3/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/27/2012

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

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Advisor Monitoring

Firm Stability Insights

Richard D. King

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Douglas King's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

AVANTAX INVESTMENT SERVICES, INC.

AVANTAX ADVISORY SERVICES

INTEGRITY ALLIANCE, LLC.

INTEGRITY ALLIANCE, LLC.

ARCHER INVESTMENT CORPORATION

AVANTAX ADVISORY SERVICES

AVANTAX INVESTMENT SERVICES, INC.

CAPITAL RESOURCE MANAGEMENT, INC.

PARTNERVEST ADVISORY SERVICES LLC

PARTNERVEST SECURITIES, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/18/2012

Series 63

Date: 1/27/2012

Series 66

Date: 2/15/2005

SIE

Date: 6/1/2018

Series 7

Date: 7/3/2013

Series 6

Date: 1/27/2012

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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