Kenneth Nelson Wiseman II | Financial Professional | Arlington, Texas

Professional summary

Kenneth Nelson Wiseman II, who also goes by Ken Wiseman Jr, Kenneth Nelson Wiseman Jr, is a registered financial advisor currently at CAPITAL MARKETS IQ, LLC located in Arlington, Texas and INTERCAROLINA FINANCIAL SERVICES, INC. located in Greensboro, North Carolina.

Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Kenneth has worked at 19 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ken Wiseman Jr | Kenneth Nelson Wiseman Jr

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.

AS OF MARCH 2005, PRESIDENT AND SOLE OWNER OF TRINITY CAPITAL OFFSHORE INVESTORS, SPC, GRAND CAYMAN, CAYMAN ISLANDS. (INVESTMENT RELATED). ENTITY HAS BEEN DORMANT SINCE FORMATION: No current duties; 0 Hrs/month. OWNER DK CAPITAL LLC IN ARLINGTON, TEXAS, A BUSINESS CONSULTING ENTITY, 3 HRS/WK. Chief technical officer, trading, and analyst of Entrepreneur's Investment Office Limited located at Unit 1102E, Level 11, Burj Daman, DIFC, Dubai, UAE, a financial services company. Investment related. Approximately 25% of his time is spent on this activity, all during trading hours. Started 3/1/2022.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Nelson Wiseman II's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 14, 2005 - Present

CAPITAL MARKETS IQ, LLC

RIA

CRD#: 134921

Arlington, TX

Current

August 2, 2021 - Present

INTERCAROLINA FINANCIAL SERVICES, INC.

Office #1: 3300 Battleground Avenue Suite 202, Greensboro, NC 27410-2447

RIA

BD

CRD#: 19475

Greensboro, NC

Past

June 30, 2017 - July 29, 2019

BIRCHWOOD SECURITIES CORP.

BD

CRD#: 17066

MEDFORD, NJ

Past

October 6, 2014 - July 7, 2015

LPE SECURITIES, LLC

BD

CRD#: 117851

TAMPA, FL

Past

May 28, 2014 - October 20, 2014

HALEN CAPITAL

BD

CRD#: 135966

CLEARWATER, FL

Past

March 4, 2010 - August 7, 2012

BENNETT ROSS, INC.

BD

CRD#: 42850

FORT WORTH, TX

Past

November 16, 2007 - February 13, 2009

PARKER FINANCIAL CORP.

BD

CRD#: 42140

VALLEY COTTAGE, NY

Past

July 11, 2007 - December 31, 2007

BENNETT ROSS, INC.

BD

CRD#: 42850

FORT WORTH, TX

Past

June 10, 2004 - July 15, 2005

CARLIN EQUITIES, LLC

BD

CRD#: 31295

NEW YORK, NY

Past

August 30, 2002 - February 11, 2004

GEEK SECURITIES, INC.

BD

CRD#: 14834

BOCA RATON, FL

Past

March 19, 2001 - April 15, 2002

ARGO SECURITIES CORP.

BD

CRD#: 38473

PLANO, TX

Past

October 5, 2000 - February 21, 2002

RICHMARK CAPITAL CORPORATION

BD

CRD#: 43162

IRVING, TX

Past

October 12, 1999 - March 29, 2000

INTERNATIONAL EXCHANGE BROKERS, LLC.

BD

CRD#: 44155

DALLAS, TX

Past

April 17, 1996 - March 2, 1998

FIRST NATIONAL EQUITY, CORP.

BD

CRD#: 36094

PT. PLEASANT BEACH, NJ

Past

October 20, 1995 - April 23, 1996

SIMON SECURITIES, INC.

BD

CRD#: 16746

COLLINGSWOOD, NJ

Past

June 28, 1994 - May 26, 1995

REGENCY CAPITAL GROUP, INC.

BD

CRD#: 30764

GLENDALE, CA

Past

August 9, 1991 - June 27, 1994

WALNUT STREET SECURITIES, INC.

BD

CRD#: 15840

EL SEGUNDO, CA

Past

August 24, 1988 - April 1, 1989

GROUP NINE SECURITIES CORPORATION

BD

CRD#: 14404

Past

April 27, 1988 - August 29, 1988

MARSHALL DAVIS, INC.

BD

CRD#: 16278

Past

February 26, 1987 - April 13, 1988

CUNYUS SECURITIES, INC.

BD

CRD#: 15821

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".

CM

CAPITAL MARKETS IQ, LLC

CRD#: 134921 / SEC#: 801-69992

RIA

Registered Investment Advisory firm - (4/3/2009 Approved)

Texas

Registered Investment Advisory firm - (4/3/2009 Terminated)

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).

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

IAR

California
(10/20/2017)

RR

California
(8/2/2021)

IAR

Florida
(2/1/2017)

IAR

Louisiana
(12/13/2016)

RR

New York
(8/29/2021)

IAR

New York
(11/14/2022)

IAR

Texas
(11/14/2005)

RR

Texas
(8/10/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/25/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 9/29/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 55

Date: 11/27/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

RR

Series 7

Date: 2/21/1987

General Securities Representative Examination

Principal/Supervisory Exam

RR

Series 24

Date: 1/2/2023

General Securities Principal Examination

SRO Registrations

RR

FINRA

Current Firm

CM

CAPITAL MARKETS IQ, LLC

CRD#: 134921 / SEC#: 801-69992

RIA

Registered Investment Advisory firm - (4/3/2009 Approved)

Texas

Registered Investment Advisory firm - (4/3/2009 Terminated)

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

Arlington, TX

Mailing Address

2810 N Church St Pmb 52811, Wilmington, DE 19802

Phone number

(310) 882-6380

Established

Firm type

Fiscal year end

# of Employees

26

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE MARCH 2025 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	827
AUM (Assets Under Management)	$ 450,873,705

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/28/2025	Cover Page	Report
01/28/2025	Cover Page	Report
08/22/2023	Cover Page	Report

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

Kenneth N. Wiseman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kenneth Nelson Wiseman II's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTERCAROLINA FINANCIAL SERVICES, INC.

BIRCHWOOD SECURITIES CORP.

LPE SECURITIES, LLC

HALEN CAPITAL

BENNETT ROSS, INC.

PARKER FINANCIAL CORP.

BENNETT ROSS, INC.

CARLIN EQUITIES, LLC

GEEK SECURITIES, INC.

ARGO SECURITIES CORP.

RICHMARK CAPITAL CORPORATION

INTERNATIONAL EXCHANGE BROKERS, LLC.

FIRST NATIONAL EQUITY, CORP.

SIMON SECURITIES, INC.

REGENCY CAPITAL GROUP, INC.

WALNUT STREET SECURITIES, INC.

GROUP NINE SECURITIES CORPORATION

MARSHALL DAVIS, INC.

CUNYUS SECURITIES, INC.

Primary Firm SEC Registration

CAPITAL MARKETS IQ, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/25/2005

Series 63

Date: 9/29/2004

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 11/27/2000

Series 7

Date: 2/21/1987

Series 24

Date: 1/2/2023

FINRA

Current Firm

CAPITAL MARKETS IQ, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CAPITAL MARKETS IQ, LLC

TRUST BUT VERIFY

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