Elmer W. Bullis
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.
Elmer Wayne Bullis, who also goes by Elmer W Bullis, was a registered financial advisor .
Elmer is a previously registered financial advisor and started their career in finance in 1987. Elmer had worked at 9 firms and has passed the Series 65, 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
June 27, 2006 - September 22, 2012
NEXT FINANCIAL GROUP, INC.
June 27, 2006 - September 22, 2012
NEXT FINANCIAL GROUP, INC.
September 2, 2004 - July 25, 2006
TOWER SQUARE SECURITIES, INC.
August 31, 2004 - July 25, 2006
TOWER SQUARE SECURITIES, INC.
April 17, 2000 - September 1, 2004
SENTINEL FINANCIAL SERVICES, INC.
February 16, 2000 - August 31, 2004
INVESTORS SECURITY COMPANY, INC.
March 2, 1998 - February 10, 2000
VOYA FINANCIAL ADVISORS, INC.
May 7, 1996 - March 2, 1998
NATHAN & LEWIS SECURITIES, INC.
January 9, 1991 - May 9, 1996
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
September 11, 1987 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
September 11, 1987 - December 21, 1990
MML INVESTORS SERVICES, LLC
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
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.
