Professional Investor Services

CL King, founded in 1972, has been self-clearing since 1983, enabling it to control its own level of service and offer flexible/customizable solutions to the professional investor.

As a self-clearing broker-dealer and prime broker, the King Professional Investor Services Group offers Prime Brokerage, Registered Investment Advisory Services, Correspondent Clearing and Commission Sharing Agreements (CSAs) to select clientele. We deliver a “High Touch” service with comprehensive web-based Performance Measurement & Reporting, and Account Information access, coupled with Traditional as well as Electronic Trading (DMA) and Algorithmic Trading Programs.

CL King Corporate Services

CL King’s Corporate Services Group offers specialized services to assist institutional 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 or acquire large positions of stock. We offer discreet execution for high-volume, complex Block Transactions with minimal market impact.

Syndicate

CL King & Associates Syndicate department participates in IPO and secondary offerings underwritten by leading investment banks.

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 FINRA.