Individual Firm
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ROGER JON LOWRY
CRD#: 1581242
IA
B
NEXT FINANCIAL GROUP, INC.CRD#: 46214 NORTHGLENN, CO
0
Disclosures
38
Years of Experience
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State Registrations
B
Arizona 1/2/2020
B
Nebraska 10/15/2013
B
Arkansas 9/22/2020
B
Oklahoma 10/27/2014
B
Colorado 10/15/2013
B
Texas 10/15/2013
IA
Colorado 10/15/2013
IA
Texas 10/15/2013
B
Florida 1/3/2023
B
Utah 5/23/2017
B
Georgia 1/5/2017
B
Washington 9/13/2017
B
Missouri 10/15/2013
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/10/2009 - 10/21/2013 | NORTHGLENN, CO | |
B | 01/01/2004 - 10/21/2013 | NORTHGLENN, CO | |
B | 06/02/1999 - 01/01/2004 | DES MOINES, IA | |
B | 10/11/1989 - 06/01/1999 | NEW YORK, NY | |
B | 10/11/1989 - 06/01/1999 | NEW YORK, NY | |
B | 11/10/1986 - 10/25/1989 | OVERLAND PARK, KS |
NEW YORK, NY
10/11/1989 - 06/01/1999
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.