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Kenneth Wiseman

Intercarolina Financial Services, INC.
33 Years of Experience
Arlington, TX
2 Disclosures
View SEC Summary
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Kenneth Wiseman is a registered investment advisor at Intercarolina Financial Services, INC., based in Arlington, TX, with 33 years of industry experience. Kenneth operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 271 clients with $85M in assets under management.

Intercarolina Financial Services, INC.
Compensation
Fee-Only (% of Portfolio)
Firm Size
16 advisors
Number of Clients
271 clients
Average Client Portfolio
$315K average
Assets Under Management
$85.4M

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any1.50%

Fees are negotiable with a maximum of 1.50% annually. The firm also participates in wrap fee programs with separate fee structures.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Arlington, TX

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
September 2020
Employment Separation After Allegations
February 2002
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Kenneth is the president and sole owner of Trinity Capital Offshore Investors, SPC, though the entity is currently dormant. He also owns DK Capital LLC, a business consulting entity, and spends a few hours per week on this. Additionally, Kenneth is the chief technical officer, trading, and analyst of Entrepreneur's Investment Office Limited, dedicating about a quarter of his time to this investment-related activity.

Employment History
Current Registrations
Intercarolina Financial Services, INC.
January 2026 - Present · 9 mos
Capital Markets Iq, LLC
November 2005 - Present · 20 yrs 11 mos
Previous Registrations
Intercarolina Financial Services, INC.Broker
August 2021 - December 2025 · 4 yrs 4 mos
Birchwood Securities CORP.Broker
June 2017 - July 2019 · 2 yrs 1 mo
Peraza Capital and Investment, LLCBroker
October 2014 - July 2015 · 9 mos
Halen CapitalBroker
May 2014 - October 2014 · 5 mos
Bennett Ross, INC.Broker
March 2010 - August 2012 · 2 yrs 5 mos
Parker Financial CORP.Broker
November 2007 - February 2009 · 1 yr 3 mos
Bennett Ross, INC.Broker
July 2007 - December 2007 · 5 mos
Carlin Equities CORP.Broker
June 2004 - July 2005 · 1 yr 1 mo
Geek Securities, INC.Broker
August 2002 - February 2004 · 1 yr 6 mos
Argo Securities CORP.Broker
March 2001 - April 2002 · 1 yr 1 mo
Richmark Capital CorporationBroker
October 2000 - February 2002 · 1 yr 4 mos
International Exchange Brokers, LLC.Broker
October 1999 - March 2000 · 5 mos
First National Equity, CORP.Broker
April 1996 - March 1998 · 1 yr 11 mos
Simon Securities, INC.Broker
October 1995 - April 1996 · 6 mos
Regency Capital Group, INC.Broker
June 1994 - May 1995 · 11 mos
Walnut Street Securities, INC.Broker
August 1991 - June 1994 · 2 yrs 10 mos
Group Nine Securities CorporationBroker
August 1988 - April 1989 · 8 mos
Marshall Davis, INC.Broker
April 1988 - August 1988 · 4 mos
Cunyus Securities, INC.Broker
February 1987 - April 1988 · 1 yr 2 mos
State Registrations3 states
LANYTX
Advisor

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Exams
No exam information available for this advisor.
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