Alan CarrollCRD Number: 4468080
Current Firm: Next Financial Group, Inc.
Alan Carroll (CRD# 4468080) is an Investment Advisor Representative working at Next Financial Group, Inc. in Victoria, TX and has over 15 years of experience in the finance industry.
Cambridge Investment Research Advisors, Inc.
Kmh Wealth Management, LLC
|Next Financial Group Inc.||Victoria, TX||Mar 2008 - Current||9|
|Capital Financial Services, Inc.||Minot, ND||Oct 2005 - Mar 2008||2|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Jan 2002|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management1,564MILLIONS
Total Number of Accounts8,116ACCOUNTS
Average Account Value$192,726
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV