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Detailed Report
JAMES EARL BROADDUS
CRD#: 4484458
IA
Investment Adviser
B
Broker
NEXT FINANCIAL GROUP, INC.CRD#: 46214 CLUTE, TX
Registration History
2002200420062008201020122014201620182020202220242026IANEXT FINANCIAL GROUP, INC. (CRD# 46214)2013 - Present (11 years)BNEXT FINANCIAL GROUP, INC. (CRD# 46214)2007 - Present (17 years)BTHE INVESTMENT CENTER, INC. (CRD# 17839)2002 - 2007 (5 years)
License(s)

State Registrations

B
California 1/3/2022
B
North Carolina 1/4/2022
B
Colorado 1/3/2022
B
Texas 11/30/2007
B
Georgia 1/3/2022
IA
Texas 11/20/2013
B
Kansas 1/3/2022
B
Virginia 1/3/2022
B
Missouri 1/3/2022
B
Wisconsin 1/3/2022
B
Montana 1/8/2009

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)
CLUTE, TX
Registered with this firm since 11/20/2013
B
NEXT FINANCIAL GROUP, INC. (CRD#:46214)
CLUTE, TX
Registered with this firm since 11/30/2007
Previous Registration(s)
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B
 03/05/2002 - 11/30/2007 THE INVESTMENT CENTER, INC. (CRD#:17839) LAKE JACKSON, TX
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.