Individual Firm
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BRUCE LYNN ALLEN
CRD#: 4590694
IA
B
NEXT FINANCIAL GROUP, INC.CRD#: 46214 PARK CITY, UT
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10/3/2013
Customer Dispute
Settled
12/28/2010
Customer Dispute
Denied
State Registrations
B
Alaska 3/1/2011
B
Indiana 1/8/2014
B
Arizona 6/12/2008
B
Missouri 3/4/2020
B
California 1/11/2008
B
Nevada 2/24/2012
B
Colorado 6/12/2008
B
New Mexico 1/4/2017
B
Florida 9/4/2019
IA
Oregon 1/10/2024
B
Hawaii 1/11/2008
B
Utah 1/11/2008
IA
Hawaii 1/28/2008
IA
Utah 1/11/2008
B
Idaho 2/1/2019
B
Washington 2/5/2009
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 1/11/2008
B
Registered with this firm since 1/11/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/17/2003 - 01/16/2008 | PARK CITY, UT | |
B | 09/11/2003 - 01/16/2008 | PARK CITY, UT | |
IA | 11/18/2002 - 09/12/2003 | MIDVALE, UT | |
B | 11/07/2002 - 09/12/2003 | MINNEAPOLIS, MN | |
B | 11/07/2002 - 09/12/2003 | MINNEAPOLIS, MN |
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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.