Franklin W. Salb

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CRD#: 4514322

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.

Franklin Wayne Salb JR, who also goes by Frank Salb, was a registered financial professional .

Franklin is a previously registered financial professional and started their career in finance in 2002. Franklin had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Frank Salb

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.

1.SRE I PROPERTIES, LLC; INVESTMENT RELATED; LOCATED IN LAWRENCE, KS; REAL ESTATE COMPANY; OWNER AND MANAGER; START DATE JANUARY 2006; 2 HOUR PER MONTH; NO TIME DURING TRADING HOURS; DUTIES INCLUDE OPERATING AND MANAGING REAL ESTATE PROPERTY. 2. SRE II PROPERTIES, LLC; INVESTMENT RELATED; LOCATED IN LAWRENCE, KS; REAL ESTATE COMPANY; OWNER AND MANAGER; START DATE JANUARY 2006; 2 HOUR PER MONTH; NO TIME DURING TRADING HOURS; DUTIES INCLUDE OPERATING AND MANAGING REAL ESTATE PROPERTY. 3. SALB REAL ESTATE SERVICE; NOT INVESTMENT RELATED; LOCATED IN LAWRENCE, KS; REAL ESTATE SERVICE COMPANY; BUSINESS ASSISTANT; START DATE JANUARY 2007; 1 HOUR PER MONTH; NO TIME DURING TRADING HOURS; DUTIES INCLUDE BOOKKEEPING AND ASSISTANCES.

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®

None

Experience

Past

February 26, 2024 - October 2, 2025

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

LAWRENCE, KS

Past

December 17, 2021 - February 22, 2024

CREATIVE PLANNING

RIA

CRD#: 105348

Lawrence, KS

Past

October 10, 2016 - December 17, 2021

LOCKTON INVESTMENT ADVISORS, LLC

RIA

CRD#: 144133

KANSAS CITY, MO

Past

June 2, 2010 - December 14, 2021

LOCKTON INVESTMENT SECURITIES, LLC

CRD#: 137476

KANSAS CITY, MO

Past

April 17, 2009 - May 26, 2010

AMERICAN CENTURY INVESTMENT SERVICES INC.

CRD#: 17437

KANSAS CITY, MO

Past

June 5, 2002 - August 18, 2004

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 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

Series 63

Date: 8/21/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/20/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/4/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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Contact information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	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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Firm Stability Insights

Franklin W. Salb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CREATIVE PLANNING

LOCKTON INVESTMENT ADVISORS, LLC

LOCKTON INVESTMENT SECURITIES, LLC

AMERICAN CENTURY INVESTMENT SERVICES INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 8/21/2009

Series 7TO

Date: 3/20/2024

SIE

Date: 10/1/2018

Series 7

Date: 4/16/2009

Series 6

Date: 6/4/2002

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

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