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 |
|---|---|---|---|---|---|
| Jeffrey Tyler Swanson | Next Financial Group, Inc. BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jul 9, 2020 | Jul 9, 2020 |
| Anthony D Mcmullen | Next Financial Group, Inc. BD affiliated | Trust Advisory Group Ltd independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 24, 2020 | Jun 30, 2020 |
| Gloria Pamela Rodriguez | Next Financial Group, Inc. BD affiliated | Fulfilled Finances LLC unclassified | Other | Jun 3, 2020 | Jun 5, 2020 |
| William Pennington Dunn | Next Financial Group, Inc. BD affiliated | Private Advisor Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 2, 2020 | Jun 19, 2020 |
| Krystle Nicole Williams | Next Financial Group, Inc. BD affiliated | Valic Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 8, 2020 | May 20, 2020 |
| Donald Jeffrey Buckley | Next Financial Group, Inc. BD affiliated | American Portfolios Advisors, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | May 4, 2020 | May 1, 2020 |
| Eric Andre Pettus | Next Financial Group, Inc. BD affiliated | Kovack Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 21, 2020 | Jul 2, 2020 (72 d) |
| Eric Bruce King | Next Financial Group, Inc. BD affiliated | H. Beck, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 3, 2020 | Feb 28, 2020 |
| Valerie Jane Richard | Next Financial Group, Inc. BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 3, 2020 | Mar 19, 2020 |
| Julie Marie-Rafferty Quick | Next Financial Group, Inc. BD affiliated | Dahring | Cusmano And Associates no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Feb 24, 2020 | Sep 4, 2019 |
| Jennifer Zittel | Next Financial Group, Inc. BD affiliated | Oak Harvest Investment Services independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 24, 2020 | Apr 14, 2021 (446 d) |
| Mark William Narby | Next Financial Group, Inc. BD affiliated | Western New York Financial Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 21, 2020 | Aug 8, 2021 (565 d) |
| Kent Lee Wise | Next Financial Group, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2019 | Jan 2, 2020 |
| Craig James Ferrantino | 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 | Dec 23, 2019 | Mar 11, 2020 (79 d) |
| Megan Danielle Muccio | 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 | Dec 23, 2019 | Dec 20, 2019 |
| Ralph Kirk Teppe | Next Financial Group, Inc. BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 20, 2019 | Dec 22, 2019 |
| Mark Kingsley Simpson | Next Financial Group, Inc. BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 16, 2019 | Dec 12, 2019 |
| Gaurav Batra | Next Financial Group, Inc. BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Nov 15, 2019 | Dec 20, 2019 (35 d) |
| Steve Mangold | Next Financial Group, Inc. BD affiliated | Tectonic Advisors LLC other | Other | Oct 31, 2019 | Nov 1, 2019 |
| Claudiu Laurentiu Dan | Next Financial Group, Inc. BD affiliated | Pnc Wealth Management BD affiliated | Affiliated broker-dealer or bank to another | Sep 4, 2019 | Sep 17, 2019 |
| Frederick Charles Fogarty | Next Financial Group, Inc. BD affiliated | Fogarty Wealth Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 3, 2019 | Jul 28, 2016 |
| Michael Thomas Jones | Next Financial Group, Inc. BD affiliated | Cetera Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 26, 2019 | Aug 22, 2019 |
| Jim Alan Yockey | Next Financial Group, Inc. BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 22, 2019 | Aug 22, 2019 |
| Kevin P Moeller | Next Financial Group, Inc. BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 13, 2019 | Aug 7, 2019 |
| Felix Paul Mcelroy | Next Financial Group, Inc. BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 5, 2019 | Aug 5, 2019 |
| Edmardo Joseph Tomei | Next Financial Group, Inc. BD affiliated | Cetera Investment Advisers LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2019 | Mar 21, 2024 (1693 d) |
| Sean Patrick Kelleher | Next Financial Group, Inc. BD affiliated | Cetera Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2019 | Aug 1, 2019 |
| Matthew Robert Engstrom | Next Financial Group, Inc. BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 31, 2019 | Mar 27, 2020 (240 d) |
| Lydia C Stephens | Next Financial Group, Inc. BD affiliated | American Portfolios Advisors, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 9, 2019 | Jul 9, 2019 |
| Kyle Tate Laughlin | Next Financial Group, Inc. BD affiliated | Cetera Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 8, 2019 | Jul 5, 2019 |
| Robert Bruce Williams | Next Financial Group, Inc. independent RIA | Commonwealth Financial Network national BD | RIA to affiliated broker-dealer or bank | May 17, 2019 | May 17, 2019 |
| Jason Wynn Crowe | Next Financial Group, Inc. independent RIA | LPL Financial LLC independent RIA | RIA to RIA | May 1, 2019 | May 1, 2019 |
| Bethany A Davis | Next Financial Group, Inc. independent RIA | LPL Financial LLC independent RIA | RIA to RIA | May 1, 2019 | May 1, 2019 |
| Zachary Husni Makawi | Next Financial Group, Inc. independent RIA | Cambridge Investment Research Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 29, 2019 | Apr 26, 2019 |
| Matthew Thomas Marcom | Next Financial Group, Inc. independent RIA | Cetera Advisors LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 23, 2019 | Apr 22, 2019 |
| Elgin Joseph Lastrape | Next Financial Group, Inc. independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 23, 2019 | Mar 21, 2024 (1794 d) |
| Scot Alan Shier | Next Financial Group, Inc. independent RIA | Money Concepts Advisory Service BD affiliated | RIA to affiliated broker-dealer or bank | Apr 8, 2019 | Apr 8, 2019 |
| Suzanne Leigh Johnson | Next Financial Group, Inc. independent RIA | Securities America Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 25, 2019 | Mar 22, 2019 |
| David James Seibel | Next Financial Group, Inc. independent RIA | Securities America Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 25, 2019 | Mar 22, 2019 |
| Kenneth Dean Johnson | Next Financial Group, Inc. independent RIA | Securities America Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 25, 2019 | Mar 22, 2019 |
| James Thomas Falls | Next Financial Group, Inc. independent RIA | Securities America Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 25, 2019 | Mar 22, 2019 |
| Jamie Lyn Horner | Next Financial Group, Inc. independent RIA | Securities America Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 25, 2019 | Mar 22, 2019 |
| Rita Marie Swann | Next Financial Group, Inc. independent RIA | Morgan Stanley wirehouse | RIA to wirehouse | Mar 12, 2019 | Mar 27, 2019 |
| Daniel Scott Laforest | Next Financial Group, Inc. independent RIA | Concourse Financial Group Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Mar 1, 2019 | Mar 1, 2019 |
| Traci Kurtz | Next Financial Group, Inc. independent RIA | Hilltop Securities Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 6, 2019 | Mar 4, 2019 |
| Rebecca Susan Spencer | Next Financial Group, Inc. independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2018 | Dec 21, 2018 |
| R. L Lawrence | Next Financial Group, Inc. independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Dec 21, 2018 | Dec 21, 2018 |
| Steven Elliott Zerbarini | Next Financial Group, Inc. independent RIA | Atlantis Wealth Advisors LLC independent RIA | RIA to RIA | Dec 18, 2018 | Feb 28, 2019 (72 d) |
| Antone Steven Bulich | Next Financial Group, Inc. independent RIA | Chimera Wealth state registered | RIA to a state-registered adviser | Nov 16, 2018 | Dec 22, 2020 (767 d) |
| Danielle Allyson Beard | Next Financial Group, Inc. independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Oct 15, 2018 | Jan 10, 2019 (87 d) |
| Peter Andrew Kranenburg | Next Financial Group, Inc. independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 6, 2018 | Sep 4, 2018 |
| Michael Patrick Thompson | Next Financial Group, Inc. independent RIA | Raymond James Financial Services Advisors, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Sep 6, 2018 | Jan 2, 2019 (118 d) |
| Peter Andrew Kranenburg | Next Financial Group, Inc. independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 6, 2018 | Sep 4, 2018 |
| John Raymond Decrescente | Next Financial Group, Inc. independent RIA | Hazard & Siegel Advisory Services LLC other | Other | Sep 6, 2018 | Oct 16, 2018 (40 d) |
| Jennifer Blake Karaczun | Next Financial Group, Inc. independent RIA | Valic Financial Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 4, 2018 | Sep 12, 2018 |
| John Christopher Little | Next Financial Group, Inc. independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 4, 2018 | Sep 6, 2018 |
| Matthew Dane Cox | Next Financial Group, Inc. independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 4, 2018 | Aug 31, 2018 |
| Thomas Alan Baird | Next Financial Group, Inc. independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 30, 2018 | Aug 30, 2018 |
| Stephen Edward Alexander | Next Financial Group, Inc. independent RIA | Sagepoint Financial, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 30, 2018 | Aug 30, 2018 |
| Michael Brett Mcmahon | Next Financial Group, Inc. independent RIA | Vwm Advisors, LLC unclassified | Other | Aug 30, 2018 | Feb 16, 2012 |
773 moves match.