Ken D. Franklin
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.
Ken Daryl Franklin, who also goes by Kenneth Daryl Franklin, Kenneth Daryl Kranklin, was a registered financial professional .
Ken is a previously registered financial professional and started their career in finance in 1991. Ken had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2010 - December 3, 2015
WORLD EQUITY GROUP, INC.
November 16, 2005 - April 9, 2010
REGAL SECURITIES, INC.
July 8, 2003 - November 30, 2005
NATIONAL SECURITIES CORPORATION
July 12, 2002 - July 1, 2003
CAPITOL SECURITIES MANAGEMENT, INC.
June 14, 2002 - July 17, 2002
VFINANCE INVESTMENTS, INC
March 31, 2000 - June 14, 2002
SOMERSET FINANCIAL GROUP, INC.
October 21, 1998 - April 24, 2000
SUMMIT FINANCIAL SERVICES GROUP, INC.
September 11, 1997 - October 21, 1998
FISERV INVESTOR SERVICES, INC.
August 4, 1995 - August 29, 1995
PNC CAPITAL MARKETS LLC
March 28, 1994 - October 1, 1997
CONSECO SECURITIES, INC.
November 24, 1993 - March 26, 1994
USLIFE EQUITY SALES CORP.
August 28, 1992 - November 27, 1993
FLEET ENTERPRISES, INC.
April 16, 1992 - July 13, 1992
USLIFE EQUITY SALES CORP.
January 8, 1991 - December 31, 1991
PFS INVESTMENTS INC.
Primary Firm SEC Registration
WORLD EQUITY GROUP, INC.
CRD#: 29087 / SEC#: 801-56328, 8-44088
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WORLD EQUITY GROUP, INC.
CRD#: 29087 / SEC#: 801-56328, 8-44088
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,151 |
| AUM (Assets Under Management) | $ 944,844,374 |
Disclosures
| Regulatory Event | 12 |
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.
