Kenneth Nelson Wiseman

Intercarolina Financial Services, INC.

32 Years of Experience

2 DisclosuresBroker

View SEC Summary

Areas of Practice

Investment ManagementRetirement Planning

Intercarolina Financial Services, INC.

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

17 advisors

Number of Clients

381 clients

Average Client Portfolio

$343K average

Assets Under Management

$130.8M

Fee Structure

Financial Planning:Investment management only

Location

Arlington, TX

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History

Regulatory History (2)

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Judgment / Lien

September 2020

Employment Separation After Allegations

February 2002

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Other Business Activities

Kenneth is the president and sole owner of Trinity Capital Offshore Investors, SPC, though the entity is currently dormant. He also owns DK Capital LLC, a business consulting entity, and spends a few hours per week on this. Additionally, Kenneth is the chief technical officer, trading, and analyst of Entrepreneur's Investment Office Limited, dedicating about a quarter of his time to this investment-related activity.

Employment History

Previous Registrations

Birchwood Securities CORP.Broker

June 2017 - July 2019 · 2 yrs 1 mo

Peraza Capital and Investment, LLCBroker

October 2014 - July 2015 · 9 mos

Halen CapitalBroker

May 2014 - October 2014 · 5 mos

Bennett Ross, INC.Broker

March 2010 - August 2012 · 2 yrs 5 mos

Parker Financial CORP.Broker

November 2007 - February 2009 · 1 yr 3 mos

Bennett Ross, INC.Broker

July 2007 - December 2007 · 5 mos

Carlin Equities CORP.Broker

June 2004 - July 2005 · 1 yr 1 mo

Geek Securities, INC.Broker

August 2002 - February 2004 · 1 yr 6 mos

Argo Securities CORP.Broker

March 2001 - April 2002 · 1 yr 1 mo

Richmark Capital CorporationBroker

October 2000 - February 2002 · 1 yr 4 mos

International Exchange Brokers, LLC.Broker

October 1999 - March 2000 · 5 mos

First National Equity, CORP.Broker

April 1996 - March 1998 · 1 yr 11 mos

Simon Securities, INC.Broker

October 1995 - April 1996 · 6 mos

Regency Capital Group, INC.Broker

June 1994 - May 1995 · 11 mos

Walnut Street Securities, INC.Broker

August 1991 - June 1994 · 2 yrs 10 mos

Group Nine Securities CorporationBroker

August 1988 - April 1989 · 8 mos

Marshall Davis, INC.Broker

April 1988 - August 1988 · 4 mos

Cunyus Securities, INC.Broker

February 1987 - April 1988 · 1 yr 2 mos

State Registrations5 states

CAFLLANYTX

AdvisorBrokerBoth

Exams

No exam information available for this advisor.