Michael K. Franklin

TANDEM FINANCIAL

Greenwood Village, CO 80111

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CRD#: 4038515

Professional summary

Michael Kevin Franklin is a registered financial advisor currently at TANDEM FINANCIAL, LLC located in Greenwood Village, Colorado.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Michael has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 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.

Mr. Franklin is a licensed insurance agent authorized to sell insurance products of various insurance companies, a non-investment related activity. Place of business is 9156 Madras Court, Highlands Ranch, Colorado 80130. Approximately 10% of Mr. Franklin's time during trading hours is spent on insurance products. Mr. Franklin is a registered representative of Purshe Kaplan Sterling Investments

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Kevin Franklin'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

March 8, 2018 - Present

TANDEM FINANCIAL, LLC

Office #1: 8400 E. Prentice Ave. Suite 1360, Greenwood Village, CO 80111

RIA

CRD#: 292565

Greenwood Village, CO

Past

April 11, 2011 - March 8, 2018

DODDS WEALTH MANAGEMENT GROUP

RIA

CRD#: 131734

ENGLEWOOD, CO

Past

February 13, 2003 - March 8, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

ENGLEWOOD, CO

Past

February 13, 2003 - March 8, 2018

LPL FINANCIAL LLC

CRD#: 6413

ENGLEWOOD, CO

Past

February 11, 2000 - February 14, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

WICHITA, KS

Past

January 7, 2000 - February 14, 2003

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 7, 2000 - February 14, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

TANDEM FINANCIAL, LLC

FEARLESS FINANCIAL ADVISORS | TANDEM FINANCIAL, LLC

CRD#: 292565 / SEC#: 801-122130

RIA

Registered Investment Advisory firm - (8/19/2021 Approved)

Colorado

Registered Investment Advisory firm - (8/19/2021 Terminated)

Louisiana

Registered Investment Advisory firm - (9/7/2021 Terminated)

Texas

Registered Investment Advisory firm - (8/19/2021 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.

Highlighted states indicate IAR registrations

IAR

Colorado
(3/8/2018)

IAR

Louisiana
(12/14/2020)

IAR

Texas
(3/8/2018)

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

Series 63

Date: 3/29/2006

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/25/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 3/8/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/6/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/11/2009

General Securities Principal Examination

Current Firm

TANDEM FINANCIAL, LLC

FEARLESS FINANCIAL ADVISORS | TANDEM FINANCIAL, LLC

CRD#: 292565 / SEC#: 801-122130

RIA

Registered Investment Advisory firm - (8/19/2021 Approved)

Colorado

Registered Investment Advisory firm - (8/19/2021 Terminated)

Louisiana

Registered Investment Advisory firm - (9/7/2021 Terminated)

Texas

Registered Investment Advisory firm - (8/19/2021 Terminated)

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Contact information

Main Address

8400 E. Prentice Ave. Suite 1360, Greenwood Village, CO 80111

Mailing Address

Phone number

(720) 845-5700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (9/14/2025)

Regulatory assets under management

Total Number of Accounts	997
AUM (Assets Under Management)	$ 291,204,848

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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Firm Stability Insights

Michael K. Franklin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Kevin Franklin's CRS (Customer Relationship Summary).

Certified licenses

Experience

DODDS WEALTH MANAGEMENT GROUP

LPL FINANCIAL LLC

LPL FINANCIAL LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

TANDEM FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/29/2006

Series 65

Date: 10/25/1999

SIE

Date: 3/8/2018

Series 7

Date: 1/6/2000

Series 24

Date: 3/11/2009

Current Firm

TANDEM FINANCIAL, LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TANDEM FINANCIAL, LLC

TRUST BUT VERIFY

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