Susan K. Franz
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.
Susan Kay Franz was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1984. Susan had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 10, Series 9, Series 24, Series 4 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
June 1, 2016 - December 31, 2021
NEXT FINANCIAL GROUP, INC.
May 20, 2004 - December 31, 2021
NEXT FINANCIAL GROUP, INC.
April 11, 1989 - May 20, 2004
MAIN STREET MANAGEMENT COMPANY
November 2, 1988 - April 19, 1989
CAREY JAMISON & COMPANY
February 2, 1988 - October 31, 1988
HIBBARD BROWN & CO., INC.
February 28, 1986 - February 18, 1988
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
September 13, 1984 - March 3, 1986
FORESTERS FINANCIAL SERVICES, INC.
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 8
Date: 10/7/1987
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.
