Jeffrey S. Hollingsworth
Professional summary
Jeffrey Scott Hollingsworth was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey Scott Hollingsworth was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1992. Jeffrey had worked at 5 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2009 - April 15, 2011
NEXT FINANCIAL GROUP, INC.
October 31, 2008 - April 30, 2009
LPL FINANCIAL LLC
October 21, 1993 - November 4, 2008
WOODBURY FINANCIAL SERVICES, INC.
January 17, 1992 - March 22, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 17, 1992 - March 22, 1993
PRUCO SECURITIES, LLC.
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 (7 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
