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Investment Adviser Firm Summary

NEXT FINANCIAL GROUP, INC. (CRD# 46214 / SEC# 8-51356, 801-56786)
Alternate Names: NEXT FINANCIAL GROUP, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 08/20/1999

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 05/15/2000
Alaska 05/16/2000
Arizona 05/18/2000
Arkansas 05/16/2000
California 06/09/1999
Colorado 12/29/2000
Connecticut 05/25/2000
Delaware 04/03/2003
District of Columbia 07/05/2000
Florida 06/22/1999
Georgia 03/29/2001
Hawaii 06/13/2000
Idaho 06/06/2000
Illinois 11/20/2000
Indiana 03/01/2000
Iowa 05/22/2000
Kansas 06/05/2000
Kentucky 06/05/2000
Louisiana 10/12/2001
Maine 02/16/2001
Maryland 02/28/2000
Massachusetts 10/10/2000
Michigan 02/23/2000
Minnesota 02/24/2000
Mississippi 06/08/2000
Missouri 06/08/2000
Montana 05/22/2000
Nebraska 06/05/2000
Nevada 06/06/2000
New Hampshire 06/09/2000
New Jersey 06/29/2000
New Mexico 06/14/2000
New York 02/23/2000
North Carolina 03/21/2001
North Dakota 03/01/2004
Ohio 07/14/2000
Oklahoma 09/05/2000
Oregon 05/24/2012
Pennsylvania 01/23/2007
Rhode Island 06/12/2000
South Carolina 05/22/2000
South Dakota 06/14/2000
Tennessee 06/23/1999
Texas 08/17/1999
Utah 06/13/2000
Vermont 07/13/1999
Virginia 03/08/2000
Washington 04/17/2000
West Virginia 06/08/2000
Wisconsin 03/08/2001

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser