Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Investment Adviser Firm Summary
NEXT FINANCIAL GROUP, INC. ( CRD # 46214/SEC#:801-56786,8-51356 )
CAPITAL CONSULTING GROUP, NEXT FINANCIAL GROUP, INC., NEXT ADVISORY SERVICES
View latest Form ADV filedPart 2 BrochuresPart 3 Relationship Summary

The adviser's REGISTRATION status is listed below.

This adviser is also a brokerage firm
REGISTRATION STATUS
SEC / JURISDICTION
REGISTRATION STATUS
EFFECTIVE DATE
SECApproved8/20/1999
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.

JURISDICTIONEFFECTIVE DATE
Alabama5/15/2000
Alaska5/16/2000
Arizona5/18/2000
Arkansas5/16/2000
California6/9/1999
Colorado12/29/2000
Connecticut5/25/2000
Delaware4/3/2003
District of Columbia7/5/2000
Florida6/22/1999
Georgia3/29/2001
Hawaii6/13/2000
Idaho6/6/2000
Illinois11/20/2000
Indiana3/1/2000
Iowa5/22/2000
Kansas6/5/2000
Kentucky6/5/2000
Louisiana10/12/2001
Maine2/16/2001
Maryland2/28/2000
Massachusetts10/10/2000
Michigan2/23/2000
Minnesota2/24/2000
Mississippi6/8/2000
Missouri6/8/2000
Montana5/22/2000
Nebraska6/5/2000
Nevada6/6/2000
New Hampshire6/9/2000
New Jersey6/29/2000
New Mexico6/14/2000
New York2/23/2000
North Carolina3/21/2001
North Dakota3/1/2004
Ohio7/14/2000
Oklahoma9/5/2000
Oregon5/24/2012
Pennsylvania1/23/2007
Puerto Rico3/28/2024
Rhode Island6/12/2000
South Carolina5/22/2000
South Dakota6/14/2000
Tennessee6/23/1999
Texas8/17/1999
Utah6/13/2000
Vermont7/13/1999
Virgin Islands3/28/2024
Virginia3/8/2000
Washington4/17/2000
West Virginia6/8/2000
Wisconsin3/8/2001
Wyoming4/23/2019
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
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.