• 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.
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2002 - 2007 (5 years)2 FIRMS2007 - 2008 (1 year)2 FIRMS2008 - 2013 (4 years)2 FIRMS2013 - 2016 (3 years)2 FIRMS2017 - 2019 (2 years)2 FIRMS2019 - 2021 (1 year)2 FIRMS2021 - 2022 (1 year)2 FIRMS2022 - Present (2 years)BHORNOR, TOWNSEND & KENT, INC. (CRD# 4031)2013 - 2013 (<1 year)BCOMPASS BROKERAGE, INC. (CRD# 17086)2001 - 2002 (<1 year)BMORGAN KEEGAN & COMPANY, INC. (CRD# 4161)1998 - 2001 (2 years)
Disclosure(s)
View By:
8/15/2022
Financial
Pending
8/15/2022
Financial
Pending
License(s)

State Registrations

B
Arizona 10/31/2022

B
Idaho 4/30/2024

B
California 10/20/2022

B
Texas 10/19/2022

B
Florida 10/24/2022

IA
Texas 10/19/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NEXT FINANCIAL GROUP, INC. (CRD#:46214)
New Braunfels, TX
Spicewood, TX
Registered with this firm since 10/19/2022

B
NEXT FINANCIAL GROUP, INC. (CRD#:46214)
New Braunfels, TX
Spicewood, TX
Registered with this firm since 10/19/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/04/2021 - 10/17/2022 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) AUSTIN, TX
B
01/04/2021 - 10/17/2022 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) AUSTIN, TX
IA
08/22/2019 - 01/14/2021 CETERA ADVISORS LLC (CRD#:10299) CEDAR PARK, TX
B
08/22/2019 - 01/14/2021 CETERA ADVISORS LLC (CRD#:10299) CEDAR PARK, TX
IA
01/13/2017 - 08/26/2019 NEXT FINANCIAL GROUP, INC. (CRD#:46214) DRIPPING SPRINGS, TX
B
01/12/2017 - 08/26/2019 NEXT FINANCIAL GROUP, INC. (CRD#:46214) DRIPPING SPRINGS, TX
IA
10/31/2013 - 12/27/2016 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) LA MESA, CA
B
10/30/2013 - 12/27/2016 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) LA MESA, CA
B
10/11/2013 - 11/07/2013 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) SAN DIEGO, CA
IA
10/16/2008 - 08/26/2013 NEXT FINANCIAL GROUP, INC. (CRD#:46214) HOUSTON, TX
B
10/16/2008 - 08/26/2013 NEXT FINANCIAL GROUP, INC. (CRD#:46214) HOUSTON, TX
IA
04/19/2007 - 10/29/2008 WAMU INVESTMENTS, INC. (CRD#:599) SUGARLAND, TX
B
04/19/2007 - 10/29/2008 WAMU INVESTMENTS, INC. (CRD#:599) SUGARLAND, TX
IA
02/27/2002 - 04/17/2007 INVESTMENT PROFESSIONALS, INC. (CRD#:30184) EL CAMPO, TX
B
02/27/2002 - 04/17/2007 INVESTMENT PROFESSIONALS, INC. (CRD#:30184) EL CAMPO, TX
B
06/29/2001 - 02/01/2002 COMPASS BROKERAGE, INC. (CRD#:17086) BIRMINGHAM, AL
B
12/16/1998 - 03/29/2001 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) MEMPHIS, TN
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.