CL King & Associates was founded in 1972 as an independent research boutique firmly committed to providing value-oriented research and analysis of investment opportunities to institutional investors. The company has evolved to become a self-clearing, service-oriented investment bank that delivers investment research, equity and fixed income trading, corporate finance, prime brokerage, investment advisor and clearing services to institutional and high net worth clients and other broker-dealers.

CL King has continued to grow and broaden its focus to offer institutional investors, high net worth clients and corporations a greater array of services and product.

CL King has been self-clearing since 1983. We can therefore assure our clients complete confidentiality and discretion, as well as customized, efficient “one-stop” clearing, execution and settlement of their transactions by our operations professionals.

We stand out from our competitors by being one of the few research-oriented firms that also provides Comprehensive Trading Services, including Capital Commitment, Market Making and listed block positioning for our institutional equity clients.

Our Fixed Income Group focuses on trading Fixed Income securities, primarily in the secondary market. We offer a broad cross section of agencies, convertibles, investment-grade corporates, mortgage-backed securities, municipals, CDs and preferred stock to other Broker-Dealers and to institutional investors.

CL King Investment Banking provides strategic M&A advice and capital raising services to emerging and mid-cap companies, both public and private. In addition, we act as a WBE underwriter in stock and bond offerings by large corporate issuers.

Our Corporate Services Group offers specialized services to assist corporate clients and their executives in handling delicate stock holding matters. Our services include guiding clients through Restricted Stock/Rule 144 transactions, developing Customized Rule 10b5-1 Trading Plans and managing corporate Share Repurchase programs.

CL King is one of the first and largest woman-owned securities firms in the United States and is WBE-certified in New York, California, Illinois, New Jersey, Ohio and North Carolina.

CL King is a member of FINRA and the SIPC.

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.