Gary R. Compton
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gary Randolph Compton was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1982. Gary had worked at 7 firms and has passed the Series 65, Series 63, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2002 - February 14, 2003
NEXT FINANCIAL GROUP, INC.
January 1, 2002 - April 3, 2002
JOHN HANCOCK DISTRIBUTORS LLC
August 30, 2001 - January 1, 2002
MANULIFE WOOD LOGAN, INC.
February 10, 1999 - July 11, 2001
MORGAN STANLEY DW INC.
July 31, 1993 - February 1, 1999
CITIGROUP GLOBAL MARKETS INC.
February 13, 1989 - July 31, 1993
LEHMAN BROTHERS INC.
March 30, 1982 - March 2, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 4/27/1982
Interest Rate Options ExaminationSeries 8
Date: 4/6/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
