James D. King

DAKOTA WEALTH

READING, PA 19601

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CRD#: 851300

Professional summary

James David King is a registered financial advisor currently at DAKOTA WEALTH, LLC located in Reading, Pennsylvania.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. James has worked at 7 firms and has passed the Series 63 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.

1) On a temporary and transitional basis, Mr. King will be dually registered as an investment advisor representative with Dakota Wealth, LLC and Lindenwold Advisors, Inc.. Dakota Wealth, LLC and Lindenwold Advisors, Inc. are not affiliated entities. 2) Historic Highfield Hall and Gardens; Investment-related; 56 Highfield Dr, Falmouth, MA. 02540; Charitable Organization; Treasurer; 6/1/2023; 3 hours per month; 0 during trading hours; Treasurer and chair of finance

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James 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

December 15, 2025 - Present

DAKOTA WEALTH, LLC

Office #1: 505 Penn Street Suite 200, Reading, PA 19601

RIA

CRD#: 297987

READING, PA

Past

April 28, 2020 - December 18, 2025

LINDENWOLD ADVISORS INC.

RIA

CRD#: 308454

READING, PA

Past

July 25, 1990 - March 28, 1994

MERIDIAN SECURITIES, INC.

CRD#: 16468

Past

September 15, 1989 - November 28, 1989

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

January 2, 1987 - September 15, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

January 15, 1980 - January 14, 1987

MORGAN STANLEY DW INC.

CRD#: 7556

Past

April 24, 1978 - January 4, 1980

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

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".

DAKOTA WEALTH, LLC

DAKOTA WEALTH MANAGEMENT | SPRINGSIDE PARTNERS | OAKMONT PARTNERS | DAKOTA WEALTH, LLC

CRD#: 297987 / SEC#: 801-114097

RIA

Registered Investment Advisory firm - (10/8/2018 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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(12/15/2025)

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.

Exams

State Security Law Exam

Series 63

Date: 4/29/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/15/1978

General Securities Representative Examination

Current Firm

DAKOTA WEALTH, LLC

DAKOTA WEALTH MANAGEMENT | SPRINGSIDE PARTNERS | OAKMONT PARTNERS | DAKOTA WEALTH, LLC

CRD#: 297987 / SEC#: 801-114097

RIA

Registered Investment Advisory firm - (10/8/2018 Approved)

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Contact information

Main Address

11376 N. Jog Road Suite 101, Palm Beach Gardens, FL 33418-1752

Mailing Address

Phone number

(561) 774-8101

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DAKOTA WEALTH FORM ADV PART 2A (10/15/2025)

Regulatory assets under management

Total Number of Accounts	9,786
AUM (Assets Under Management)	$ 6,335,261,507

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/10/2025	Cover Page	Report
09/13/2024	Cover Page	Report
11/21/2023	Cover Page	Report
01/18/2023	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

James D. King

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

LINDENWOLD ADVISORS INC.

MERIDIAN SECURITIES, INC.

PRUDENTIAL EQUITY GROUP, LLC

THOMSON MCKINNON SECURITIES INC.

MORGAN STANLEY DW INC.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

DAKOTA WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/29/1986

Series 7

Date: 4/15/1978

Current Firm

DAKOTA WEALTH, LLC

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

DAKOTA WEALTH, LLC

TRUST BUT VERIFY

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