DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Advisor moves
Departures from Next Financial Group, Inc.
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Akanni Kenyon Jones | Next Financial Group, Inc. BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 20, 2023 | Apr 19, 2023 |
| Clayton James Tyree | Next Financial Group, Inc. BD affiliated | Harbour Investments, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 20, 2023 | Apr 19, 2023 |
| Stephen Anthony Gentile | Next Financial Group, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2023 | Apr 5, 2023 |
| Joseph P Charlton | Next Financial Group, Inc. BD affiliated | Osaic Fs, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 30, 2023 | Mar 29, 2023 |
| Rita L Bagnato | Next Financial Group, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 28, 2023 | Aug 23, 2024 (514 d) |
| Ryan Janus | Next Financial Group, Inc. BD affiliated | Janus Financial state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 31, 2022 | Jan 4, 2023 |
| Timothy Patrick Flanagan | Next Financial Group, Inc. BD affiliated | Ip Financial Advisory Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 10, 2022 | Nov 14, 2022 |
| Kevin Hiller Kelley | Next Financial Group, Inc. BD affiliated | Ip Financial Advisory Services LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 9, 2022 | Nov 8, 2022 |
| Christopher Mark Torchiana | Next Financial Group, Inc. BD affiliated | Continuum Financial Partners, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 9, 2022 | Jan 1, 2026 (1210 d) |
| Gary Joseph Siano | Next Financial Group, Inc. BD affiliated | Founders Financial Securities, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 7, 2022 | Sep 7, 2022 |
| Jesse Andrew Colgan | Next Financial Group, Inc. BD affiliated | Founders Financial Securities, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 7, 2022 | Sep 6, 2022 |
| Kevin John Arndt | Next Financial Group, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 19, 2022 | Aug 19, 2022 |
| Timothy Lee Talbot | Next Financial Group, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 19, 2022 | Aug 19, 2022 |
| Michael Richard Briggs | Next Financial Group, Inc. BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 28, 2022 | Jul 28, 2022 |
| Jason Robert Brown | Next Financial Group, Inc. BD affiliated | Ep Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 13, 2022 | Dec 15, 2023 (520 d) |
| Ashley Hale Cromie | Next Financial Group, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Jun 20, 2022 | Aug 3, 2022 (44 d) |
| Elie Assaad Boutros | Next Financial Group, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | May 27, 2022 | Jun 2, 2023 (371 d) |
| Jerry Robert Citarella | Next Financial Group, Inc. BD affiliated | Prosperitas Financial, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 25, 2022 | Aug 31, 2021 |
| Christopher Matthew Ingram | Next Financial Group, Inc. BD affiliated | Prosperitas Financial, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 25, 2022 | Aug 31, 2021 |
| Frederic Matthew Wachtel | Next Financial Group, Inc. BD affiliated | Prosperitas Financial, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 25, 2022 | Aug 30, 2021 |
| Kieran Thomas Wong | Next Financial Group, Inc. BD affiliated | Prosperitas Financial, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 25, 2022 | Aug 30, 2021 |
| Mark Thomas Petersen | Next Financial Group, Inc. BD affiliated | Prosperitas Financial, LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Apr 25, 2022 | Aug 31, 2021 |
| Scott Michael Mondeau | Next Financial Group, Inc. BD affiliated | Flagship Harbor Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 26, 2022 | Mar 31, 2022 |
| Andrew Cassedy Miller | Next Financial Group, Inc. BD affiliated | Visionary Asset Management other | Other | Mar 11, 2022 | Mar 29, 2012 |
| Mark Victor Carlozzi | Next Financial Group, Inc. BD affiliated | American Portfolios Advisors, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 3, 2022 | Jan 4, 2022 |
| Ellis Charles Regini | Next Financial Group, Inc. BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2021 | Dec 20, 2023 (719 d) |
| David B Bennett | Next Financial Group, Inc. BD affiliated | Advisor Resource Council independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 2, 2021 | Jan 21, 2025 (1146 d) |
| Brenton Daniel Cisson | Next Financial Group, Inc. BD affiliated | D.A. Davidson & Co. independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 1, 2021 | Feb 3, 2022 (64 d) |
| Jonathan Earl Kennedy | Next Financial Group, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 22, 2021 | Nov 19, 2021 |
| Jeffrey Arnold Scott | Next Financial Group, Inc. BD affiliated | Fsc Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 22, 2021 | Aug 10, 2021 |
| James Michael Comblo | Next Financial Group, Inc. BD affiliated | Fsc Wealth Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 22, 2021 | Aug 10, 2021 |
| Joseph C Klein | Next Financial Group, Inc. BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | Oct 13, 2021 | Nov 19, 2021 (37 d) |
| Ryan Dewey | Next Financial Group, Inc. BD affiliated | Thrivent Investment Management Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 4, 2021 | Oct 5, 2021 |
| Christopher Kit Harrell | Next Financial Group, Inc. BD affiliated | Ckhfinancial LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 28, 2021 | Oct 24, 2022 (391 d) |
| Edward Lowell Hildebrand | Next Financial Group, Inc. BD affiliated | Sanctuary Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 17, 2021 | Aug 16, 2021 |
| Drake Hogan | Next Financial Group, Inc. BD affiliated | Executive Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 16, 2021 | Sep 28, 2021 (43 d) |
| Richard Lowell Bateman | Next Financial Group, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 6, 2021 | Feb 7, 2022 (185 d) |
| Reid Jeffrey Simpson | Next Financial Group, Inc. BD affiliated | Personalized Financial unclassified | Other | Aug 2, 2021 | Aug 9, 2021 |
| Michael David Hodgson | Next Financial Group, Inc. BD affiliated | Lvz, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 20, 2021 | Jul 19, 2021 |
| Matthew James Bostwick | Next Financial Group, Inc. BD affiliated | Lvz, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 20, 2021 | Jul 22, 2021 |
| Brian Joseph O'Keefe | Next Financial Group, Inc. BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Jun 22, 2021 | Aug 4, 2021 (43 d) |
| Michael Lauer | Next Financial Group, Inc. BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 11, 2021 | Jun 29, 2021 |
| Zachary Allen Zettergren | Next Financial Group, Inc. BD affiliated | Silver Oak Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 11, 2021 | May 11, 2021 |
| Michael Bankole Awosemusi | Next Financial Group, Inc. BD affiliated | Empowerment Financial Advisors LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 22, 2021 | Apr 28, 2021 |
| Roman M Bulawski | Next Financial Group, Inc. BD affiliated | Kubhera Enterprises LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 18, 2021 | Apr 22, 2021 (63 d) |
| Robert Kruse Ross | Next Financial Group, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 25, 2021 | Jan 22, 2021 |
| Terence William Hagedorn | Next Financial Group, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 25, 2021 | Jan 22, 2021 |
| Matthew A Caton | Next Financial Group, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jan 25, 2021 | Jan 22, 2021 |
| Matthew Aaron Benson | Next Financial Group, Inc. BD affiliated | Sonmore Financial LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Dec 31, 2020 | Jan 1, 2021 |
| Seth Michael Ingersoll | Next Financial Group, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 9, 2020 | Mar 21, 2024 (1198 d) |
| Stephen Wayne Lewis | Next Financial Group, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 9, 2020 | Mar 21, 2024 (1198 d) |
| Raymond V Hayes | Next Financial Group, Inc. BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 9, 2020 | Nov 11, 2020 |
| Anthony Chapman Williams | Next Financial Group, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2020 | Mar 21, 2024 (1238 d) |
| Marcus Eugene Ortega | Next Financial Group, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 30, 2020 | Mar 21, 2024 (1238 d) |
| Mark Lee Tevebaugh | Next Financial Group, Inc. BD affiliated | Oneascent Financial Services LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 27, 2020 | Oct 29, 2020 |
| Timothy Albert Rudy | Next Financial Group, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 8, 2020 | Sep 4, 2020 |
| Joseph Anthony Pancerella | Next Financial Group, Inc. BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 8, 2020 | Sep 4, 2020 |
| Brian Craig Parker | Next Financial Group, Inc. BD affiliated | Supreme Alliance LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 4, 2020 | Apr 1, 2022 (574 d) |
| Edward Stanley Kozun | Next Financial Group, Inc. BD affiliated | United Planners' Financial Services Of America A Limited Partner independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 15, 2020 | Jul 14, 2020 |
| Abel Lopez Olivares | Next Financial Group, Inc. BD affiliated | Centaurus Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 13, 2020 | Jul 31, 2020 |
773 moves match.