Carole Kitrosser

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CRD#: 1845939

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.

Carole Kitrosser was a registered financial professional .

Carole is a previously registered financial professional and started their career in finance in 1988. Carole had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 14, 2011 - December 2, 2016

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

NEW YORK, NY

Past

January 2, 2004 - March 21, 2011

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

NEW YORK, NY

Past

August 1, 2003 - December 18, 2003

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

February 9, 2001 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

May 3, 1999 - February 23, 2001

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

December 15, 1992 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

July 19, 1988 - October 15, 1990

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

CRD#: 2873

NEW YORK, NY

Past

July 19, 1988 - November 25, 1992

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEXT FINANCIAL GROUP, INC.

CAPITAL CONSULTING GROUP | NEXT FINANCIAL GROUP, INC. | NEXT ADVISORY SERVICES

CRD#: 46214 / SEC#: 801-56786, 8-51356

RIA

Registered Investment Advisory firm - SEC (8/20/1999 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/20/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/22/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/18/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NEXT FINANCIAL GROUP, INC.

CAPITAL CONSULTING GROUP | NEXT FINANCIAL GROUP, INC. | NEXT ADVISORY SERVICES

CRD#: 46214 / SEC#: 801-56786, 8-51356

RIA

Registered Investment Advisory firm - SEC (8/20/1999 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

11740 Katy Freeway Suite 600, Houston, TX 77079

Mailing Address

11740 Katy Freeway Suite 600, Houston, TX 77079

Phone number

(713) 789-7122

Established

Virginia since 06/28/1998

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

564

SEC notice filing (53 States and Territories)

FINRA licenses (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NEXT FORM ADV PART 2A BROCHURE MARCH 2025 (3/28/2025)

CONTOUR WRAP FEE PROGRAM BROCHURE MARCH 2025 (3/28/2025)

VISIONARY MULTI-MANAGER PROGRAM BROCHURE MARCH 2025 (3/28/2025)

NEXT SELECT WRAP FEE BROCHURE MARCH 2025 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
NEXT FINANCIAL HOLDINGS INC.	SHAREHOLDER
HAWLEY, AMANDA CANDELMO	CORPORATE SECRETARY	3214453
SCHUMANN, ALEXIS V	ADVISORY CHIEF COMPLIANCE OFFICER	3157769
SCHUMANN, ALEXIS V	CHIEF COMPLIANCE OFFICER	3157769
TYMKIW, TRISHA LYNN	PRINCIPAL FINANCIAL OFFICER	3197368

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	Cover Page	Report
06/28/2024	Cover Page	Report

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.

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Carole Kitrosser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST ALLIED SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

NATHAN & LEWIS SECURITIES, INC.

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

NEXT FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/1999

Series 63

Date: 8/22/1988

SIE

Date: 12/2/2016

Series 6

Date: 7/18/1988

Current Firm

NEXT FINANCIAL GROUP, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (10 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

NEXT FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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