Douglas King, financial advisor Westlake OH
96 score

Douglas King

CRD Number: 1375683
Current Firm: Prosperity Capital Advisors

Douglas King (CRD# 1375683) is an Investment Advisor Representative working at Prosperity Capital Advisors in Westlake, OH and has over 32 years of experience in the finance industry. Douglas King has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Cetera Advisor Networks LLC El Segunda, CA Apr 2017 - Current 1
C2p Capital Advisory Group, Llc Dba Prosperity Capital Advisors Westlake, OH Apr 2017 - Current 1
Cetera Advisor Networks LLC El Segundo, CA Jan 2013 - Mar 2017 4
Financial Network Investment Corporation, Inc. El Segundo, CA Apr 2012 - Dec 2012 < 1
Unemployed Wayzata, MN Jan 2011 - Apr 2012 1
Bank Of America Minneapolis, MN Oct 2009 - Jan 2011 1
Merrill Lynch, Pierce, Fenner & Smith, Inc. Minneapolis, MN Jun 2004 - Jan 2011 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1985
S65 NASAA Investment Advisors Law Examination Jan 1995
Contact Info for Douglas S. King
Phone Number: 440-471-0345
Registered State(s):
  • FL
  • VA
  • MN
  • OH
By the Numbers
  • Total Assets Under Management
    665
    MILLIONS
  • Total Number of Accounts
    3,552
    ACCOUNTS
  • Average Account Value
    $187,335
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AL, AZ, CA, CO, DE, FL, GA, IA, IL, IN, KY, LA, MA, MD, MI, MN, MO, NC, NE, NH, NJ, NY, OH, PA, RI, SC, SD, TN, TX, VA, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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