CL King & Associates has a focused investment banking effort dedicated to emerging and mid-sized companies. We also act as a WBE co-manager in the securities offerings of very large companies. We offer a range of investment banking services built around thoughtful corporate finance advice and execution. Our advice is independent and not influenced by bank lending.

Capital Raising

CL King is a value-added underwriting partner based on being part of a robust sales/trading/research platform. We enjoy long-standing relationships with regional and mid-sized institutional investors, complementing our extensive coverage of the largest investors. And we act as a market maker in securities we underwrite.

Our capital raising efforts include acting as an underwriter and co-manager in IPOs, subsequent stock offerings, convertibles and bonds. In the past decade, we acted as an underwriter in 93 common stock offerings. We can also structure and place PIPES.

Strategic Advisory/M&A

CL King takes a rigorous approach to strategic advisory and M&A assignments based on long experience, latest finance theory and practical valuation insights gained from being an active broker-dealer in securities markets. We provide advice and execution around mergers, acquisitions, selling companies or subsidiaries, strategic alternatives, and valuation, including Fairness Opinions.

WBE (Woman-Owned Business Enterprise)

As a WBE, CL King is one of the largest, oldest and most successful woman-owned firms on Wall Street. With our broad, deep and differentiated distribution, we add value to securities offerings where we act as a co-manager. For companies determined to add diversity to underwriting groups, we are an effective and meaningful partner. WBE Certification >

Corporate Services

Our Corporate Services Group offers specialized services to assist corporate clients achieve their short- and long-term financial goals. Our services include guiding clients through Stock Rule 144 transactions, developing Customized Rule 10b5-1 Trading Plans and Managing Corporate Share Repurchase programs. By leveraging the strength of our NASDAQ-listed trading group, CL King can assist insiders, affiliates, venture and other institutional clients to sell and acquire large positions of stock. We offer discreet execution for high-volume, complex Block Transactions with minimal market impact.
Corporate Services >

Syndicate

CL King & Associates Syndicate department is an active participant in IPO and secondary offerings underwritten by leading investment banks. Syndicate >

Group Contact

Scott White,
Managing Director
Head of Investment Banking

Phone: (212) 364-1830
Email: srw@clking.com

Fixed Income Offerings

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CL King & Associates, Inc. does and seeks to do business with companies covered in its research reports. As a result, investors should be aware that the Firm may have a conflict of interest that could affect the objectivity of this report. The information contained herein was obtained from sources, which we believe to be reliable but we do not guarantee its accuracy or completeness. This material is for your information only and does not constitute an offer to buy or sell, or the solicitation of any offer to buy or sell any securities. CL King & Associates, Inc., and/or one or more of its officers or employees may have positions in, and may, as principal or agent, buy or sell the securities mentioned herein, and may from time to time maintain a market in these securities. It can neither be guaranteed nor should it be assumed that future recommendations will equal the performance of past recommendations or be profitable. Member of FINRA and SIPC.