Mark G. Hollingsworth
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.
Mark G Hollingsworth, who also goes by Mark Goodwin Hollingsworth, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 5 firms and has passed the Series 65, Series 63, 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
February 3, 2014 - May 16, 2014
NEXT FINANCIAL GROUP, INC.
February 3, 2014 - May 16, 2014
NEXT FINANCIAL GROUP, INC.
February 23, 2005 - December 31, 2013
NEXT FINANCIAL GROUP, INC.
November 26, 2001 - December 31, 2004
DOMINION CAPITAL ADVISORS, INC.
June 3, 1999 - December 31, 2013
NEXT FINANCIAL GROUP, INC.
April 24, 1990 - June 29, 1999
INVESTORS SECURITY COMPANY, INC.
January 11, 1988 - May 4, 1990
FIRST UNION CAPITAL MARKETS CORP.
April 23, 1986 - January 15, 1988
BRANCH, CABELL & CO., 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.
