LK
Larry W. Karban
NATIONS FINANCIAL GROUP
Memphis, TN 38137
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CRD#: 1240170
LK
Professional summary
Larry Wayne Karban, CFP® is a registered financial advisor currently at NATIONS FINANCIAL GROUP, INC. located in Memphis, Tennessee.
Larry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Larry has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
ATKINS CAPITAL MGMT, LLC. 5100 POPLAR AVE., SUITE 3214 MEMPHIS, TN 38137. IS INVESTMENT RELATED. NATURE OF BUSINESS IS DBA TO OFFER INVESTMENT AND ADVISORY SERVICES. POSITION IS OWNER. START DATE 12/13/2006. APPROX 170 HRS PER MONTH, 6.5 HRS DURING TRADING SPENT ON BSUNIESS DUTIES ARE FINANCIAL ADVISORY. // GOLDEN CROSS SENIOR MINISTRIES. 1615 APPLING RD. CORDOVA, TN 38016. NOT INVESTMENT RELATED. NATURE OF BUSINESS IS TO PROVIDE ASSISTANCE TO LOW INCOME SENIORS LIVING IN WESLEY SR LIVING HOUSING. POSITION IS BOARD MEMBER. STARTED 1/25/2012. SPEND APPROX 1 HOUR PER MONTH ON BUSINESS, ZERO HOURS DUIRNG TRADING. DUTIES ARE DISCUSSING BUDGET HEARING ENDOWMENT PROGRESS REPORT, AND REVIEWING SPENDING REQUESTS. CHICKASAW COUNTRY CLUB. 3395 GALLOWAY, MEMPHIS TN 38122. NOT INVESTMENT RELATED. NATURE OF BUSINESS IS COUNTRY CLUB. POSITION IS BOARD OF DIRECTORS. STARTED 11/1/23. APPROX 2-3 HOURS PER MONTH ON BUSINESS, ZERO HOURS DURING TRADING. DUTIES ARE REVIEW CLUB OPERATIONS.
CRS (Client Relationship Summary) - RIA
Click below to view Larry Wayne Karban's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Larry Wayne Karban's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1992
Experience
Current
February 17, 2022 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 5100 Poplar Ave. Suite 3214, Memphis, TN 38137RIA
BD
CRD#: 44181
Memphis, TN
Current
February 11, 2022 - Present
NATIONS FINANCIAL GROUP, INC.
Office #1: 5100 Poplar Ave. Suite 3214, Memphis, TN 38137RIA
BD
CRD#: 44181
Memphis, TN
Past
December 13, 2006 - February 14, 2022
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
MEMPHIS, TN
Past
December 13, 2006 - February 14, 2022
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
MEMPHIS, TN
Past
October 31, 2002 - December 14, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
MEMPHIS, TN
Past
February 24, 1984 - December 14, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
MEMPHIS, TN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/15/2022)
RR
Alaska(2/11/2022)
RR
Arizona(2/11/2022)
RR
Arkansas(2/11/2022)
RR
California(2/11/2022)
RR
Colorado(2/11/2022)
RR
Florida(2/11/2022)
RR
Georgia(2/11/2022)
RR
Illinois(2/11/2022)
RR
Indiana(2/11/2022)
RR
Kansas(2/11/2022)
RR
Louisiana(2/11/2022)
RR
Maryland(2/11/2022)
RR
Mississippi(2/11/2022)
RR
Nevada(3/18/2022)
RR
North Carolina(2/11/2022)
RR
Ohio(2/11/2022)
RR
Pennsylvania(2/11/2022)
RR
Rhode Island(9/17/2025)
RR
South Carolina(5/16/2023)
RR
Tennessee(2/11/2022)
IAR
Tennessee(2/17/2022)
RR
Texas(2/11/2022)
IAR
Texas(2/21/2023)
RR
Washington(2/11/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/10/1993
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
NF
NATIONS FINANCIAL GROUP, INC.
FRONTIER INVESTMENT SERVICES | NATIONS FINANCIAL GROUP, INC. | NATIONAL BROKERAGE SERVICES, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
RIA
Registered Investment Advisory firm - SEC (5/3/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Mailing Address
3925 Fountains Blvd Ne Suite 200, Cedar Rapids, IA 52411
Phone number
(319) 393-9541
Established
Iowa since 11/14/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
87
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
Company Information
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181Memphis, TN 38137TRUST BUT VERIFY
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