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Detailed Report
HARVEY STEPHEN BAILEY
H STEPHEN BAILEY, STEVE BAILEY
CRD#: 1055363
IA
Investment Adviser
B
Broker
NEXT FINANCIAL GROUP, INC.CRD#: 46214 4520 Mint Hill Village
#106
Mint Hill, NC 28227
Registration History
1985199019952000200520102015202020252 FIRMS2006 - Present (18 years)BFFP SECURITIES, INC. (CRD# 16337)1996 - 2006 (10 years)BCAPITAL INVESTMENT GROUP, INC. (CRD# 14752)1990 - 1996 (6 years)BNWNL MANAGEMENT CORPORATION (CRD# 2882)1989 - 1990 (<1 year)BW. S. GRIFFITH & CO., INC. (CRD# 10410)1983 - 1989 (6 years)IABMF INVESTMENTS, INC. (CRD# 141871)2014 - 2015 (<1 year)IAFFP ADVISORY SERVICES INC (CRD# 110778)2001 - 2006 (5 years)
Disclosure(s)
View By:
11/4/2002
Customer Dispute
Closed-No Action
5/11/1992
Regulatory
Final
License(s)

State Registrations

B
North Carolina 12/8/2006
B
South Carolina 12/13/2006
IA
North Carolina 12/8/2006
IA
South Carolina 10/26/2007
B
Ohio 7/13/2010

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NEXT FINANCIAL GROUP, INC. (CRD#:46214)
4520 Mint Hill Village #106, Mint Hill, NC 28227
Registered with this firm since 12/8/2006
B
NEXT FINANCIAL GROUP, INC. (CRD#:46214)
4520 Mint Hill Village #106, Mint Hill, NC 28227
Registered with this firm since 12/8/2006
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 09/16/2014 - 02/05/2015 BMF INVESTMENTS, INC. (CRD#:141871) CHARLOTTE, NC
IA
 12/31/2001 - 12/15/2006 FFP ADVISORY SERVICES INC (CRD#:110778) CHARLOTTE, NC
B
 09/13/1996 - 12/15/2006 FFP SECURITIES, INC. (CRD#:16337) CHARLOTTE, NC
B
 05/31/1990 - 09/06/1996 CAPITAL INVESTMENT GROUP, INC. (CRD#:14752) RALEIGH, NC
B
 09/01/1989 - 06/25/1990 NWNL MANAGEMENT CORPORATION (CRD#:2882) WINDSOR, CT
B
 07/18/1983 - 09/06/1989 W. S. GRIFFITH & CO., INC. (CRD#:10410) HARTFORD, CT
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.