Richard D. King
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Douglas King, who also goes by Rick King, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1997. Richard had worked at 12 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2025 - December 26, 2025
CETERA INVESTMENT ADVISERS LLC
September 5, 2025 - December 26, 2025
CETERA WEALTH SERVICES, LLC
May 26, 2022 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
May 24, 2022 - September 5, 2025
AVANTAX ADVISORY SERVICES
September 10, 2019 - May 28, 2020
INTEGRITY ALLIANCE, LLC.
September 9, 2019 - May 28, 2020
INTEGRITY ALLIANCE, LLC.
May 22, 2018 - September 9, 2019
ARCHER INVESTMENT CORPORATION
July 20, 2012 - June 1, 2018
AVANTAX ADVISORY SERVICES
January 30, 2012 - June 1, 2018
AVANTAX INVESTMENT SERVICES, INC.
November 2, 2009 - June 4, 2012
CAPITAL RESOURCE MANAGEMENT, INC.
June 6, 2008 - March 20, 2009
PARTNERVEST ADVISORY SERVICES LLC
June 6, 2008 - March 20, 2009
PARTNERVEST SECURITIES, INC.
September 27, 2006 - June 16, 2008
CETERA INVESTMENT ADVISERS LLC
September 27, 2006 - June 16, 2008
CETERA FINANCIAL SPECIALISTS LLC
February 8, 2006 - October 11, 2006
1ST GLOBAL ADVISORS INC
January 21, 2004 - October 11, 2006
1ST GLOBAL CAPITAL CORP.
October 16, 1997 - December 31, 2002
AVANTAX INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
