John M. Mayberry
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.
John Michael Mayberry, who also goes by John Michael Mayberry II, Mike Mayberry, was a registered financial advisor .
John is a previously registered financial advisor and started their career in finance in 1985. John had worked at 13 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
November 5, 2009 - June 13, 2012
NEXT FINANCIAL GROUP, INC.
April 13, 2006 - December 31, 2007
NEXT FINANCIAL GROUP, INC.
April 5, 2006 - September 10, 2009
NEXT FINANCIAL GROUP, INC.
November 28, 2000 - April 3, 2006
IBC INVESTMENTS
May 10, 1999 - April 3, 2006
IBC INVESTMENTS
January 1, 1998 - February 2, 1999
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 13, 1997 - January 1, 1998
NATIONSSECURITIES
November 7, 1995 - August 13, 1997
BOATMEN'S INVESTMENT SERVICES, INC.
August 7, 1995 - December 1, 1995
WFG INVESTMENTS, INC.
May 30, 1995 - June 7, 1995
BOK FINANCIAL SECURITIES, INC.
January 3, 1989 - May 11, 1995
LPL FINANCIAL LLC
May 25, 1988 - January 10, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 25, 1988 - January 10, 1989
PRUCO SECURITIES, LLC.
February 29, 1988 - April 26, 1988
IFMG SECURITIES, INC.
September 24, 1986 - October 23, 1987
MONY SECURITIES CORPORATION
October 2, 1985 - October 24, 1986
FORESTERS FINANCIAL SERVICES, 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.
