Joshua J. Gedrich
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.
Joshua Joseph Gedrich was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 1984. Joshua had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2014 - September 22, 2017
NEXT FINANCIAL GROUP, INC.
January 2, 2014 - September 22, 2017
NEXT FINANCIAL GROUP, INC.
June 2, 2006 - December 31, 2013
IC ADVISORY SERVICES, INC.
September 19, 2003 - June 2, 2006
THE INVESTMENT CENTER, INC.
October 8, 1990 - December 31, 2013
THE INVESTMENT CENTER, INC.
November 28, 1989 - September 24, 1990
JANNEY MONTGOMERY SCOTT LLC
July 25, 1989 - December 7, 1989
ESCALATOR SECURITIES, INC.
January 25, 1984 - July 25, 1989
THOMSON MCKINNON SECURITIES INC.
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
Current Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (2 States and Territories)
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.
