EK
Elizabeth A. King
SENECA HOUSE ADVISORS
Richmond, VA 23226
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CRD#: 4674939
EK
Professional summary
Elizabeth Ann King, CFP® is a registered financial advisor currently at SENECA HOUSE ADVISORS located in Richmond, Virginia.
Elizabeth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Elizabeth has worked at 3 firms and has passed the Series 66, SIE and Series 7 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.
Hopechest LLC; Co-manager; Family LLC; Richmond VA, 23221; Investment Related; June 2014; 1-9 hours per month; 0 during trading hours. Richmond SPCA; Nonprofit; Finance Committee Chair; Richmond, VA; Investment-related; Oct 2023; 1-9 hours per month; 1-9 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth Ann 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®
Experience
Current
September 1, 2016 - Present
SENECA HOUSE ADVISORS
Office #1: 5609 Patterson Ave Suite B, Richmond, VA 23226RIA
CRD#: 210519
Richmond, VA
Past
September 22, 2004 - August 25, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
RICHMOND, VA
Past
January 21, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 21, 2004 - August 25, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
RICHMOND, VA
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".
SH
SENECA HOUSE ADVISORS
SENECA HOUSE ADVISORS | STONY POINT WEALTH MANAGEMENT INC.
CRD#: 210519 / SEC#: 801-108723
RIA
Registered Investment Advisory firm - (12/6/2016 Approved)Florida
Registered Investment Advisory firm - (12/7/2016 Terminated)Maryland
Registered Investment Advisory firm - (12/9/2016 Terminated)Texas
Registered Investment Advisory firm - (12/7/2016 Terminated)Virginia
Registered Investment Advisory firm - (12/9/2016 Terminated)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.Highlighted states indicate IAR registrations
IAR
Virginia(9/1/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SH
SENECA HOUSE ADVISORS
SENECA HOUSE ADVISORS | STONY POINT WEALTH MANAGEMENT INC.
CRD#: 210519 / SEC#: 801-108723
RIA
Registered Investment Advisory firm - (12/6/2016 Approved)Florida
Registered Investment Advisory firm - (12/7/2016 Terminated)Maryland
Registered Investment Advisory firm - (12/9/2016 Terminated)Texas
Registered Investment Advisory firm - (12/7/2016 Terminated)Virginia
Registered Investment Advisory firm - (12/9/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5609 Patterson Ave Suite B, Richmond, VA 23226
Mailing Address
Phone number
(804) 332-6574
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,098 |
| AUM (Assets Under Management) | $ 424,716,806 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SENECA HOUSE ADVISORS
CRD#: 210519Richmond, VA 23226TRUST BUT VERIFY
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