David J. Herzog
Professional summary
David Jacob Herzog was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, David had worked at 9 firms, which includes NEXT FINANCIAL GROUP INC., INTERFIRST CAPITAL CORPORATION, SAN CLEMENTE SECURITIES INC., PEB FINANCIAL GROUP INC., OFG FINANCIAL SERVICES INC., VSR FINANCIAL SERVICES INC., 1717 CAPITAL MANAGEMENT COMPANY, OSAIC WEALTH INC., INTEGRATED RESOURCES EQUITY CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2004 - April 1, 2009
NEXT FINANCIAL GROUP, INC.
February 14, 2002 - April 1, 2009
NEXT FINANCIAL GROUP, INC.
April 10, 2000 - February 14, 2002
INTERFIRST CAPITAL CORPORATION
July 9, 1997 - April 10, 2000
SAN CLEMENTE SECURITIES, INC.
September 23, 1991 - July 9, 1997
PEB FINANCIAL GROUP, INC.
December 10, 1990 - September 30, 1991
OFG FINANCIAL SERVICES, INC.
July 31, 1990 - December 7, 1990
VSR FINANCIAL SERVICES, INC.
April 11, 1990 - August 29, 1990
1717 CAPITAL MANAGEMENT COMPANY
November 19, 1989 - August 8, 1990
OSAIC WEALTH, INC.
October 22, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
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.
