KW

Kenneth Nelson Wiseman

Intercarolina Financial Services, INC.
32 Years of Experience
View SEC Summary
View SEC Summary

Firm Information

Intercarolina Financial Services, INC.
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
17 advisors
Number of Clients
381 clients
Average Client Portfolio
$343K average
Assets Under Management
$130.8M

Fee Structure

Financial Planning:Investment management only

IFS is compensated for investment advisory services by either a percentage of assets under management or fixed fees. Fees are negotiable with a maximum of 150 basis points (1.50%). Clients will also incur brokerage and other transaction costs. IFS receives a percentage of the wrap fee charged by wrap fee firms. Distributions are $75, Loans have a $50 set up fee and $50 annual maintenance fee. Qualified Domestic Relations Order is $250.

View Full Brochure on SEC
Areas of Practice
Retirement PlanningInvestment Management

Advisor Information

Office location

Arlington, TX

Get directions
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
September 2020
Employment Separation After Allegations
February 2002
View Full SEC ReportHow to Read Disclosures
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
Current Registrations
Intercarolina Financial Services, INC.
August 2021 - Present · 4 yrs 5 mos
Intercarolina Financial Services, INC. Broker
August 2021 - Present · 4 yrs 5 mos
Capital Markets Iq, LLC
November 2005 - Present · 20 yrs 2 mos
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.