Career
David King has been Managing Partner of Arax Advisory Partners since June 2026. David King is a control person of the firm and directly owns under 5% of it.
Arax Advisory Partners, LLC is a New York, NY firm with $26.5B under management, 15,662 clients and 168 advisers across 39 offices, as of its August 2026 filing.
- Arax Advisory PartnersCurrent– present · under a yearHouston, TX · Adviser representative · Firm CRD 133535
- Usca Asset Management LLCAlso current– present · 2 yearsHouston, TX · Adviser representative · Firm CRD 137045
- U.s. Capital Wealth Advisors, LLC– · 5 yearsAustin, TX · Adviser representative · Firm CRD 288199
- Usca Asset Management LLC– · 5 yearsHouston, TX · Adviser representative · Firm CRD 137045
- Usca Ria LLC– · 10 yearsHouston, TX · Adviser representative · Firm CRD 152170
- UBS Financial Services Inc.– · 8 yearsHouston, TX · Adviser representative · Firm CRD 8174
Credentials and registrations
Investment adviser representative registrations
| State | Status | Since |
|---|---|---|
| Texas | Approved | 26 October 2023 |
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 1 March 2011 |
| Series 31 | Futures Managed Funds Examination | 28 July 2004 |
| Series 65 | Uniform Investment Adviser Law Examination | 25 August 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 8 March 1994 |
| Series 7 | General Securities Representative Examination | 25 January 1994 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Futures Managed Funds Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- David Michael King
- CRD
- 2446459
- Office
- 4444 Westheimer Road , Suite G500, Houston, TX 77027
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does David King work?
David King has been Managing Partner of Arax Advisory Partners, LLC since June 2026, and is a control person of the firm.
Is David King a financial advisor?
Yes. David King has a current investment-adviser registration in Texas, through Arax Advisory Partners since July 2026.
How many years of experience does David King have?
David King has 32 years in the financial industry, since October 1994, across 5 adviser firms.
What exams has David King passed?
David King has passed 6 licensing exams: the Series 7, Series 63, Series 65, Series 31, Series 24 and Series 99TO. The earliest, the Series 7, was passed in January 1994. FINRA credited David King with the SIE, which began in October 2018.
Where did David King work before Arax Advisory Partners?
Before Arax Advisory Partners, David King was registered through Usca Asset Management LLC, March 2016 to August 2021; Usca Ria LLC, January 2011 to June 2021; UBS Financial Services Inc., July 2002 to January 2011.
Where is David King based?
David King’s registered office is in Houston, TX.