Stephen L. Franklin

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CRD#: 1288555

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.

Stephen Lewis Franklin, CFP®, who also goes by Steve Franklin, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve Franklin

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.

Blog Corner

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®

CFP^®

Certified Financial Planner

Experience

Past

October 10, 2017 - June 18, 2021

KPP ADVISORY SERVICES LLC

RIA

CRD#: 289507

LOUISVILLE, KY

Past

December 15, 2009 - February 27, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOUISVILLE, KY

Past

July 14, 1995 - June 21, 2021

LPL FINANCIAL LLC

CRD#: 6413

LOUISVILLE, KY

Past

November 12, 1993 - July 19, 1995

ASSOCIATED SECURITIES CORP.

CRD#: 12969

BOSTON, MA

Past

April 1, 1991 - November 26, 1993

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

August 14, 1990 - April 1, 1991

PW SECURITIES, INC.

CRD#: 6775

Past

April 28, 1988 - August 22, 1990

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

Past

August 22, 1984 - August 5, 1986

FINANCIAL PLANNERS EQUITY CORPORATION

CRD#: 7420

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".

KPP ADVISORY SERVICES LLC

CRD#: 289507 / SEC#: 801-111709

RIA

Registered Investment Advisory firm - (9/15/2017 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/22/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/14/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/21/1984

General Securities Principal Examination

Current Firm

KPP ADVISORY SERVICES LLC

CRD#: 289507 / SEC#: 801-111709

RIA

Registered Investment Advisory firm - (9/15/2017 Approved)

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Contact information

Main Address

9300 Shelbyville Rd. Suite 1310, Louisville, KY 40222

Mailing Address

Phone number

(502) 394-0400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV2A KPP ADVISORY SERVICES LLC (2/10/2025)

Regulatory assets under management

Total Number of Accounts	3,405
AUM (Assets Under Management)	$ 874,251,636

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.

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Advisor Monitoring

Firm Stability Insights

Stephen L. Franklin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

ASSOCIATED SECURITIES CORP.

TRANSAMERICA FINANCIAL ADVISORS, LLC

PW SECURITIES, INC.

FFP SECURITIES, INC.

FINANCIAL PLANNERS EQUITY CORPORATION

Primary Firm SEC Registration

KPP ADVISORY SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/22/1995

Series 63

Date: 8/14/1984

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1984

Series 24

Date: 9/21/1984

Current Firm

KPP ADVISORY SERVICES LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KPP ADVISORY SERVICES LLC

TRUST BUT VERIFY

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