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
Arrivals at 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 |
|---|---|---|---|---|---|
| Alexis Schumann | Cadaret Grant & Co Inc BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 9, 2025 | Nov 4, 2025 |
| Siddharth Mehta | Wisdom Oak Fund Management LLC state registered | Next Financial Group, Inc. BD affiliated | Other | Dec 31, 2024 | Sep 12, 2023 |
| Andrew Michael Morgasen | Charles Schwab & Co., Inc. national BD | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 2, 2024 | Jul 19, 2024 |
| Wendy P. Simmons | Pruco Securities, LLC BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 3, 2024 | May 6, 2024 |
| Andrew Anthony Jabro | Flexible Plan Investments Ltd mixed wealth | Next Financial Group, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 15, 2024 | Apr 30, 2024 |
| William George Barry | Goldman Sachs Wealth Services, L.P. BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Feb 15, 2024 | Feb 5, 2024 |
| Jesus Ramos | The Broughton Investment Group, Inc. state registered | Next Financial Group, Inc. BD affiliated | Other | Dec 22, 2023 | Mar 6, 2025 (440 d) |
| Kelli Annette Miller | RBC Capital Markets, LLC national BD | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 13, 2023 | Dec 8, 2023 |
| Cory David Yearian | Wells Fargo Advisors wirehouse | Next Financial Group, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 31, 2023 | Oct 23, 2023 |
| Brenda Stein | Seacrest Wealth Management, LLC independent RIA | Next Financial Group, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 29, 2023 | Sep 29, 2023 |
| Steven Hart | Fisher Investments independent RIA | Next Financial Group, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 15, 2023 | Aug 15, 2023 |
| Chelsey Lynn Koster | Principal Securities, Inc. BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 20, 2023 | Aug 11, 2023 |
| Jay Matthew Vavra | Edward Jones national BD | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 18, 2023 | Jul 10, 2023 |
| Amy Martin | Cetera Advisors LLC BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 18, 2023 | Jul 21, 2023 |
| Robert Linhart Hughes | Principal Securities, Inc. BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 17, 2023 | Aug 3, 2023 |
| Rachel Lynn Yost | Wealthplan Partners independent RIA | Next Financial Group, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jun 29, 2023 | Jun 29, 2023 |
| James Anthony Delaney | Transamerica Financial Advisors, LLC BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 21, 2023 | Jun 13, 2023 |
| Jared Scott Mason | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Next Financial Group, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 14, 2023 | Jun 26, 2023 |
| Susan Michelle Roberts | Securities America Advisors, Inc. BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 2, 2023 | May 15, 2023 |
| Chelsea Brown | Eagle Strategies LLC BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 25, 2023 | May 5, 2023 |
| Robert Bynum Miers | Commonwealth Financial Network national BD | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2023 | Mar 24, 2023 |
| Quentin Bradley White | Commonwealth Financial Network national BD | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2023 | Mar 24, 2023 |
| Tracy A Brown | Commonwealth Financial Network national BD | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2023 | Mar 24, 2023 |
| Bradley Jacob Laczny | J.P. Morgan Securities LLC wirehouse | Next Financial Group, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 20, 2022 | Feb 27, 2023 (69 d) |
| Douglas White | Hub Investment Partners, LLC other | Next Financial Group, Inc. BD affiliated | Other | Nov 18, 2022 | Feb 17, 2023 (91 d) |
| Robert T Bird | RBC Capital Markets, LLC national BD | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 25, 2022 | Sep 9, 2022 |
| Matthew Newman | Equitable Advisors, LLC national BD | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2022 | Mar 16, 2022 |
| George Edward Heathcote | Transamerica Financial Advisors, LLC BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2022 | Mar 30, 2022 |
| Ryan Bell | Transamerica Financial Advisors, LLC BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 31, 2022 | Mar 30, 2022 |
| Raymond John Zegger | Ameriprise Financial Services, LLC national BD | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 5, 2022 | Jan 3, 2022 |
| Ricardo Martin Cadena | Edward Jones national BD | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2021 | Dec 10, 2021 |
| Philip Kong | U.S. Bancorp Investments, Inc. BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 28, 2021 | Sep 24, 2021 |
| Collin Duane Mccarty | On Investment Management Co BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 27, 2021 | Sep 24, 2021 |
| A Lamar Hudson | LPL Financial LLC BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 4, 2021 | Jul 16, 2021 |
| Erik Truxal | Edward Jones national BD | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 2, 2021 | Jun 1, 2021 |
| Thomas Guilfoyle | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Next Financial Group, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | May 11, 2021 | May 6, 2021 |
| Elizabeth Gosek | Thrive Capital Management, LLC independent RIA | Next Financial Group, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 11, 2021 | Jan 8, 2021 |
| Jennifer Lee Radford | Waddell & Reed BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 27, 2021 | Jan 25, 2021 |
| Thomas Guy Fox | Waterstreet Asset Management LLC state registered | Next Financial Group, Inc. independent RIA | Other | Dec 31, 2020 | Mar 27, 2019 |
| Joseph C Klein | MML Investors Services, LLC BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2020 | Mar 19, 2021 (78 d) |
| Ryan John Delcarlo | Principal Securities, Inc. BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 25, 2020 | Nov 13, 2020 |
| Drake Hogan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Next Financial Group, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Nov 9, 2020 | Apr 8, 2021 (150 d) |
| Daniel A Oschmann | Western Wealth Management LLC independent RIA | Next Financial Group, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 7, 2020 | Aug 18, 2020 |
| Frederic Matthew Wachtel | Wells Fargo Advisors wirehouse | Next Financial Group, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 21, 2020 | Jul 20, 2020 |
| Ronald Dean Segon | Calton & Associates, Inc. independent RIA | Next Financial Group, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 9, 2020 | Jul 10, 2020 |
| Michal B Caro | Cetera Investment Advisers LLC BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jun 19, 2020 | Jun 19, 2020 |
| Andrew Allen Gay | Wells Fargo Advisors wirehouse | Next Financial Group, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 16, 2020 | Jun 2, 2020 |
| Gilberto Alejandro Paiz | Wells Fargo Advisors wirehouse | Next Financial Group, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jun 2, 2020 | Jun 1, 2020 |
| Michael Bankole Awosemusi | Edward Jones national BD | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 24, 2020 | Jul 22, 2020 (89 d) |
| Terri A Canterbury | Cetera Advisor Networks LLC BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2019 | Jan 2, 2020 |
| Russell Yamauchi | Principal Securities, Inc. BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2019 | Jan 7, 2020 |
| Ashley Hale Cromie | Edward Jones national BD | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2019 | Jan 28, 2021 (422 d) |
| Richard Scott Debono | Ameritas Advisory Services BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 26, 2019 | Nov 1, 2019 |
| Gary Stuart Kokin | Wells Fargo Advisors wirehouse | Next Financial Group, Inc. BD affiliated | Wirehouse to affiliated broker-dealer or bank | Jul 19, 2019 | Sep 10, 2019 (53 d) |
| Steven Patrick Carlson | Valmark Advisers, Inc. BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jul 12, 2019 | Jul 31, 2019 |
| Krystle Nicole Williams | Invesco Advisers, Inc. asset manager | Next Financial Group, Inc. BD affiliated | Other | May 31, 2019 | Nov 4, 2019 (157 d) |
| Gloria Pamela Rodriguez | Northwestern Mutual Investment Services,LLC no RAUM | Next Financial Group, Inc. independent RIA | Other | May 22, 2019 | May 21, 2019 |
| Edward Lowell Hildebrand | Sowell Management independent RIA | Next Financial Group, Inc. independent RIA | RIA to RIA | May 2, 2019 | May 8, 2019 |
| Jason Robert Brown | Bcg Securities, Inc. BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 30, 2019 | Sep 13, 2019 (136 d) |
| Rita L Bagnato | Sagepoint Financial, Inc. BD affiliated | Next Financial Group, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 5, 2019 | Feb 2, 2021 (669 d) |
Page 1 of 11Next
630 moves match.