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Detailed Report
ADRIENNE J ROTHSTEIN-GRACE
ADRIENNE ROTHSTEIN GRACE, ADRIENNE GRACE
CRD#: 2918614
IA
Investment Adviser
B
Broker
NEXT FINANCIAL GROUP, INC.CRD#: 46214 5888 MAIN STREET
SUITE 200
WILLIAMSVILLE, NY 14221
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2008 (1 year)2 FIRMS2021 - Present (4 years)BCADARET, GRANT & CO., INC. (CRD# 10641)2014 - 2021 (7 years)BMML INVESTORS SERVICES, LLC (CRD# 10409)2010 - 2014 (3 years)BMETLIFE SECURITIES INC. (CRD# 14251)2008 - 2010 (1 year)BM&T SECURITIES, INC. (CRD# 17358)2006 - 2007 (1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)1997 - 2006 (8 years)BSECURITIES AMERICA, INC. (CRD# 10205)1997 - 1997 (<1 year)IACITICORP INVESTMENT SERVICES (CRD# 23988)2004 - 2006 (1 year)
Disclosure(s)
View By:
9/25/2009
Regulatory
Final
6/29/2003
Customer Dispute
Settled
License(s)

State Registrations

B
Florida 2/19/2021
B
New York 2/21/2021
B
Massachusetts 2/19/2021
IA
New York 3/5/2021
B
Montana 11/14/2022
B
North Carolina 2/19/2021

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)
5888 MAIN STREET SUITE 200, WILLIAMSVILLE, NY 14221
Registered with this firm since 3/5/2021
B
NEXT FINANCIAL GROUP, INC. (CRD#:46214)
5888 MAIN STREET SUITE 200, WILLIAMSVILLE, NY 14221
Registered with this firm since 2/18/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 01/10/2014 - 02/12/2021 CADARET, GRANT & CO., INC. (CRD#:10641) Amherst, NY
B
 09/14/2010 - 02/04/2014 MML INVESTORS SERVICES, LLC (CRD#:10409) AMHERST, NY
B
 11/12/2008 - 08/12/2010 METLIFE SECURITIES INC. (CRD#:14251) WILLIAMSVILLE, NY
IA
 08/20/2007 - 11/20/2008 HSBC SECURITIES (USA) INC. (CRD#:19585) BUFFALO, NY
B
 07/25/2007 - 11/20/2008 HSBC SECURITIES (USA) INC. (CRD#:19585) BUFFALO, NY
B
 07/03/2006 - 07/10/2007 M&T SECURITIES, INC. (CRD#:17358) WILLIAMSVILLE, NY
IA
 12/03/2004 - 07/03/2006 CITICORP INVESTMENT SERVICES (CRD#:23988) WILLIAMSVILLE, NY
B
 12/09/1997 - 07/03/2006 CITICORP INVESTMENT SERVICES (CRD#:23988) LONG ISLAND CITY, NY
B
 08/19/1997 - 12/02/1997 SECURITIES AMERICA, INC. (CRD#:10205) LAVISTA, NE
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.