Rebecca A. Buskirk
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.
Rebecca Ann Buskirk, who also goes by Becky Buskirk, Rebecca Ann Harding, Rebecca Ann Walters, was a registered financial professional .
Rebecca is a previously registered financial professional and started their career in finance in 1988. Rebecca had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2014 - March 25, 2019
NEXT FINANCIAL GROUP, INC.
October 7, 2014 - March 25, 2019
NEXT FINANCIAL GROUP, INC.
June 4, 2007 - August 7, 2014
VALIC FINANCIAL ADVISORS, INC.
June 1, 2007 - August 7, 2014
VALIC FINANCIAL ADVISORS, INC.
November 13, 2006 - April 10, 2007
BI INVESTMENTS, LLC
November 13, 2006 - April 10, 2007
BI INVESTMENTS, LLC
April 2, 1992 - June 29, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
July 20, 1988 - June 29, 2006
IDS LIFE INSURANCE COMPANY
July 20, 1988 - June 29, 2006
AMERIPRISE FINANCIAL SERVICES, 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
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.
