C.L. King & Associates, Inc.

C.L. King & Associates, Inc.

C.L. King & Associates, Inc.

Date Founded




Type of Company



Investment Banking & Brokerage

Company Description

Founded in 1972 by Candace King, C.L. King & Associates, Inc. is a self-clearing, service-oriented broker/dealer and investment bank located in Albany, New York with additional offices in Boston and New York City. The firm delivers investment research, equity and fixed-income sales and trading, prime brokerage, investment advisor and clearing services to institutional and high net-worth clients and to other broker/dealers. For corporations, they underwrite securities and provide strategic advice in connection with mergers, acquisitions, strategic alternatives and valuation. C.L. King & Associates is a member of FINRA and the SIPC.C.L. King & Associates follows 120 names in 9 sectors. They seek to discover uncovered investment opportunities by seeking out companies that may be ignored by other Wall Street research providers and by identifying value and growth that may be unrecognized by institutional equity investors. The firm provides comprehensive trading services including capital commitment, market making and listed block positioning for their institutional equity clients.C.L. King & Associates' fixed-income group focuses on trading fixed-income securities, primarily in the secondary market. They offer a broad cross section of agencies, convertibles, investment-grade corporates, mortgage-backed securities, municipals, CDs and preferred stock to other broker/Dealers and institutional investors.The firm's investment banking group provides strategic M&A advice and capital raising services to emerging and mid-cap companies, both public and private. In addition, they act as a WBE underwriter in stock and bond offerings by large corporate issuers.C.L. King & Associates' corporate services group offers specialized services to assist corporate clients and their executives in handling delicate stock holding matters. Their services include guiding clients through restricted stock/rule 144 transactions, developing customized rule 10b5-1 trading plans and managing corporate share repurchase programs.The firm's equity research is based on a fundamental, value-oriented approach that focuses on small- and mid-cap companies. The firm offers research on the following sectors: special situations, building materials companies, specialty retail/apparel/footwear, industrials/cyclicals, restaurants/franchising, business services/staffing companies, telecommunications equipment and medical technology/devices/supplies.

Contact Data
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Executives & Employees


Chief Financial Officer & Senior Managing Director

Senior Managing Director & Head of Investment Banking & Capital Markets

Senior Managing Director, Head of Equities & Director of Institutional Sales

Senior Managing Director & Head of Fixed Income

Director of Research

Managing Director


Managing Director & Director of Research

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Recent Transactions
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PET Acquisition LLC issued USD Common Stock

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Airbnb, Inc. issued USD Common Stock

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Reinvent Technology Partners Z issued USD Units Consisting of Ordinary Shares and Warrants

Transaction Clients
Selling Group Member

Advised on The Goldman Sachs Group, Inc. issued USD Common Stock


Advised on AIG issued USD Common Stock

Selling Group Member

Advised on L-3 Communications Holdings, Inc. issued USD Common Stock

Transaction Advisors
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Advised onTravelers Property Casualty Corp. issued USD Common Stock

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