Carl D. King

INVESCO ADVISERS

North Bend, WA

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CRD#: 5272591

Professional summary

Carl David King, who also goes by Carl D King, Carl King, is a registered financial advisor currently at INVESCO ADVISERS, INC. located in North Bend, Washington and INVESCO DISTRIBUTORS, INC. located in Nokomis, Florida.

Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Carl has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carl D King | Carl 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 Carl David 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

October 15, 2024 - Present

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

North Bend, WA

Current

October 16, 2024 - Present

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

Nokomis, FL

Past

March 30, 2022 - August 28, 2024

MORGAN STANLEY

RIA

CRD#: 149777

Kirkland, WA

Past

September 1, 2015 - August 28, 2024

MORGAN STANLEY

CRD#: 149777

Kirkland, WA

Past

May 14, 2015 - August 11, 2015

SYMETRA SECURITIES, INC.

CRD#: 739

BELLEVUE, WA

Past

October 22, 2007 - January 3, 2014

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

March 20, 2007 - June 29, 2007

EQUITABLE ADVISORS, LLC

CRD#: 6627

DENVER, CO

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".

INVESCO ADVISERS, INC.

INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.

CRD#: 105360 / SEC#: 801-33949

RIA

Registered Investment Advisory firm - (12/30/1988 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

Florida
(10/17/2024)

IAR

Texas
(10/15/2024)

Washington
(10/16/2024)

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: 3/29/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/16/2008

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: 3/19/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/29/2021

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/2/2020

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 26

Date: 10/21/2010

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

INVESCO ADVISERS, INC.

INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.

CRD#: 105360 / SEC#: 801-33949

RIA

Registered Investment Advisory firm - (12/30/1988 Approved)

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Contact information

Main Address

1331 Spring Street Nw Suite 2500, Atlanta, GA 30309

Mailing Address

11 Greenway Plaza Suite 1000, Houston, TX 77046

Phone number

(404) 892-0896

Established

Firm type

Fiscal year end

# of Employees

2,872

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INVESCO ADVISERS, INC. FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	61,236
AUM (Assets Under Management)	$ 756,881,223,229

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/24/2025	Cover Page	Report
09/27/2024	Cover Page	Report
10/27/2023	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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Firm Stability Insights

Carl D. King

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

INVESCO DISTRIBUTORS, INC.

MORGAN STANLEY

MORGAN STANLEY

SYMETRA SECURITIES, INC.

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

INVESCO ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/29/2022

Series 63

Date: 2/16/2008

SIE

Date: 10/1/2018

Series 7

Date: 3/19/2007

Series 10

Date: 11/29/2021

Series 9

Date: 11/2/2020

Series 26

Date: 10/21/2010

FINRA

Current Firm

INVESCO ADVISERS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

INVESCO ADVISERS, INC.

TRUST BUT VERIFY

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