Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard King is a financial advisor with over 20 years of experience in the financial services industry. Richard is a Registered Representative and Investment Advisor Representative. Richard is currently registered with Avantax Advisory Services. Richard has been in the financial services industry since 2001. Richard has held previous positions with Brokers International Financial Services, LLC., HD Vest Investment Services, Partnervest Securities, Inc., Genworth Financial Securities Corporation, 1st Global Capital Corp., and H.D. Vest Investment Services. Richard holds a Series 6, 7, 63, and 65 licenses. Richard is also a Certified Public Accountant (CPA). Richard offers financial planning, investment advisory, and insurance services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Solicitor referral services to third-party investment managers; participant enrollment meetings
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Solicitor fees
1
2
CA
05/24/2022 - Present
Avantax Advisory Services (ESCONDIDO CA)
CA
09/09/2019 - 05/28/2020
BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC. (Escondido CA)
CA
01/30/2012 - 06/01/2018
HD VEST INVESTMENT SERVICES (SAN MARCOS CA)
CA
06/06/2008 - 03/20/2009
PARTNERVEST SECURITIES, INC. (SAN MARCOS CA)
CA
09/27/2006 - 06/16/2008
GENWORTH FINANCIAL SECURITIES CORPORATION (SAN MARCOS CA)
CA
01/21/2004 - 10/11/2006
1ST GLOBAL CAPITAL CORP. (SAN MARCOS CA)
TX
10/16/1997 - 12/31/2002
H.D. VEST INVESTMENT SERVICES (DALLAS TX)
IA
Issued 07/18/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/27/2012
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 02/15/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/03/2013
Series 7 - General Securities Representative Examination
BC
Issued 01/27/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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