King Cavalier is a registered investment advisor, based in Greenwood Village, CO, with 15 years of industry experience.
Location
8400 E Prentice Ave, Ste 625, Greenwood Village, CO, 80111-2951
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Regulatory History (2)
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Customer Dispute
June 2023Settled
Criminal
February 2016Final Disposition
Other Business Activities
King is an officer and president of Eight Winds LLC, established to accept revenue payments from RJFS, and spends minimal time on it. He is also involved with Wayfinder Financial Services as "Other", spending minimal time.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
April 2018 - Present · 8 yrs 1 mo
Raymond James Financial Services, INC.Broker
April 2018 - Present · 8 yrs 1 mo
Previous Registrations
Wells Fargo Clearing Services, LLC
December 2013 - April 2018 · 4 yrs 4 mos
Wells Fargo Clearing Services, LLCBroker
December 2013 - April 2018 · 4 yrs 4 mos
RBC Capital Markets, LLC
April 2011 - December 2013 · 2 yrs 8 mos
RBC Capital Markets, LLCBroker
March 2011 - December 2013 · 2 yrs 9 mos
State Registrations10 states
ALCACOFLMTNDOKTXWAWV
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.