Rick T. Trenholme
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.
Rick Tully Trenholme, who also goes by Richard Tully Trenholme, Rick Trenholme, was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1988. Rick had worked at 10 firms and has passed the Series 63, Series 99TO, SIE, 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
September 6, 2016 - September 21, 2021
NEXT FINANCIAL GROUP, INC.
May 3, 2016 - September 21, 2016
LPL FINANCIAL LLC
November 17, 2010 - April 29, 2016
NEXT FINANCIAL GROUP, INC.
June 12, 2007 - November 18, 2010
PRINCIPAL SECURITIES, INC.
September 26, 2006 - October 26, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
June 21, 1996 - September 29, 2006
FSC SECURITIES CORPORATION
October 27, 1992 - May 7, 1996
ASB FINANCIAL SERVICES
May 7, 1991 - November 6, 1992
CAPITAL BROKERAGE CORPORATION
January 23, 1990 - May 14, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
January 23, 1990 - May 20, 1991
GAF FINANCIAL AND INSURANCE SERVICES
March 14, 1988 - February 6, 1990
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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.
