Francis R. Khan

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CRD#: 1022086

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Francis Ramesh Khan, who also goes by Bing Khan, Frank Khan, Ramesh Francis Khan, was a registered financial professional .

Francis is a previously registered financial professional and started their career in finance in 1990. Francis had worked at 9 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bing Khan | Frank Khan | Ramesh Francis Khan

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 21, 2004 - April 6, 2005

SYNERGY INVESTMENT GROUP, LLC

CRD#: 46035

CHARLOTTE, NC

Past

October 1, 2003 - October 10, 2003

G. A. REPPLE & COMPANY

CRD#: 17486

CASSELBERRY, FL

Past

August 25, 2003 - September 30, 2003

SAXONY SECURITIES, INC.

CRD#: 115547

ST. LOUIS, MO

Past

April 25, 2003 - September 8, 2003

CLEARING SERVICES OF AMERICA, INC.

CRD#: 23623

ST. LOUIS, MO

Past

August 18, 1997 - February 24, 2003

ALLEN DOUGLAS SECURITIES, INC.

CRD#: 42410

WINTER PARK, FL

Past

November 2, 1994 - November 4, 1997

FAS WEALTH MANAGEMENT SERVICES, INC.

CRD#: 10164

SARASOTA, FL

Past

October 13, 1993 - November 9, 1994

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

January 15, 1992 - October 11, 1993

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Past

February 13, 1990 - October 18, 1990

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 2/27/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/10/1990

General Securities Representative Examination

Current Firm

SYNERGY INVESTMENT GROUP, LLC

CRD#: 46035 / SEC#: 801-68315, 8-51278

RIA

Registered Investment Advisory firm - SEC (11/28/2012 Terminated)

Arizona

Registered Investment Advisory firm - SEC (12/31/2012 Terminated)

Colorado

Registered Investment Advisory firm - SEC (11/23/2012 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/9/2007 Terminated)

Georgia

Registered Investment Advisory firm - SEC (11/9/2007 Terminated)

Indiana

Registered Investment Advisory firm - SEC (11/13/2007 Terminated)

Maryland

Registered Investment Advisory firm - SEC (11/9/2007 Terminated)

Nevada

Registered Investment Advisory firm - SEC (12/17/2007 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (7/1/2012 Approved)

Ohio

Registered Investment Advisory firm - SEC (12/31/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (7/13/2012 Approved)

Tennessee

Registered Investment Advisory firm - SEC (12/9/2007 Terminated)

Virginia

Registered Investment Advisory firm - SEC (11/9/2007 Terminated)

Wyoming

Registered Investment Advisory firm - SEC (12/6/2017 Terminated)

Terminated by SEC on 05/05/2012

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

708 Mclain Road, Kannapolis, NC 28083

Mailing Address

Phone number

(704) 295-6692

Established

North Carolina since 07/28/1998

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
SYNERGY HOLDING GROUP	MEMBER
HAYES, JOSEPH PATRICK	CHIEF COMPLIANCE OFFICER	4289211
JONES, JEFFREY DEAN	PART OWNER	4188324
VANHAMME, TRACY M	FINOP	5378592

Regulatory assets under management

Total Number of Accounts	324
AUM (Assets Under Management)	$ 53,106,235

Disclosures

Regulatory Event	7
Arbitration	2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.