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Carol L Franklin

Independent Financial Group, LLC

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About Carol L Franklin

Carol Franklin is a financial advisor with Independent Financial Group, LLC, based in Fairport, NY. Carol has been in the financial industry since December 29, 2010 and has extensive experience in providing financial guidance. Carol is dedicated to helping clients achieve their financial goals through a personalized approach. Carol specializes in financial planning, portfolio management for individuals and businesses, pension consulting, and selection of other advisors.

Firm Information

Carol Franklin is currently registered with Independent Financial Group, LLC. Independent Financial Group, LLC is a limited liability company formed in July 2001 and headquartered in San Diego, California. The firm offers financial planning, pension consulting, portfolio management for individuals and businesses, and selection of other advisors. They manage approximately $1 billion to $10 billion in assets for a diverse clientele, including high-net-worth individuals, corporations, charitable organizations, and pension plans. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands.
Independent Financial Group, LLC

12671 HIGH BLUFF DR

SAN DIEGO, CA 92130

$6.75B

Assets Under Management

270

Total Clients

524

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Carol Franklin’s Registration & Firm History

NY

10/03/2018 - Present

Independent Financial Group, LLC (Fairport NY)

NY

03/04/2009 - 12/05/2016

RAYMOND JAMES & ASSOCIATES, INC. (ROCHESTER NY)

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Licenses & Designations

BC

Issued 05/11/2009

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/17/2015

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/21/2014

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 12/05/2016

SIE - Securities Industry Essentials Examination

BC

Issued 03/03/2009

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carol L Franklin.
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