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Andrew N. King

AWM FINANCIAL SERVICES
THE WOODLANDS, TX 77380
CRD#: 7901592
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AK
Andrew Nicholas KingAWM FINANCIAL SERVICES

Professional summary

Andrew Nicholas King is a registered financial advisor currently at AWM FINANCIAL SERVICES INC. located in The Woodlands, Texas.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Andrew has worked at 2 firms and has passed the Series 65, Series 7TO and SIE 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Nicholas 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

March 9, 2026 - Present

AWM FINANCIAL SERVICES INC.

Office #1: 9595 Six Pines Drive Building 4 Suite 4230, The Woodlands, TX 77380
RIA
CRD#: 144351
THE WOODLANDS, TX
Past

June 25, 2024 - November 17, 2025

OSAIC WEALTH, INC.

BD
CRD#: 23131
THE WOODLANDS, 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".
AF
AWM FINANCIAL SERVICES INC.
AWM FINANCIAL SERVICES INC. | SENIOR FINANCIAL PLANNING | DANIEL RYAN WHELESS | AWM FINANCIAL SERVICES INC. DBA ALLIED WEALTH MANAGEMENT

CRD#: 144351 / SEC#: 801-120940

RIA
Registered Investment Advisory firm - (4/23/2021 Approved)
California
Registered Investment Advisory firm - (4/4/2019 Terminated)
Louisiana
Registered Investment Advisory firm - (6/15/2021 Terminated)
Ohio
Registered Investment Advisory firm - (6/7/2021 Terminated)
Texas
Registered Investment Advisory firm - (6/4/2021 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
Texas
(3/9/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/23/2026
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/24/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/4/2024
Securities Industry Essentials Examination

Current Firm

AF
AWM FINANCIAL SERVICES INC.
AWM FINANCIAL SERVICES INC. | SENIOR FINANCIAL PLANNING | DANIEL RYAN WHELESS | AWM FINANCIAL SERVICES INC. DBA ALLIED WEALTH MANAGEMENT

CRD#: 144351 / SEC#: 801-120940

RIA
Registered Investment Advisory firm - (4/23/2021 Approved)
California
Registered Investment Advisory firm - (4/4/2019 Terminated)
Louisiana
Registered Investment Advisory firm - (6/15/2021 Terminated)
Ohio
Registered Investment Advisory firm - (6/7/2021 Terminated)
Texas
Registered Investment Advisory firm - (6/4/2021 Terminated)
Loading...

Contact information

Main Address
9595 Six Pines Drive Building 4 Suite 4230, The Woodlands, TX 77380
Mailing Address
Phone number
(281) 444-7555
Established
Firm type
Fiscal year end
# of Employees
15

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/21/2025)

Regulatory assets under management

Total Number of Accounts1,345
AUM (Assets Under Management)$ 233,714,026

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.

Company Information

AWM FINANCIAL SERVICES INC.

CRD#: 144351The Woodlands, TX 77380

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