Jeffrey D. Thoele
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.
Jeffrey David Thoele, who also goes by Jeff Thoele, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1992. Jeffrey had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 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
July 1, 2013 - September 27, 2019
NEXT FINANCIAL GROUP, INC.
January 9, 2004 - September 27, 2019
NEXT FINANCIAL GROUP, INC.
February 10, 2003 - January 13, 2004
THE O.N. EQUITY SALES COMPANY
April 24, 1997 - February 7, 2003
WALNUT STREET SECURITIES, INC.
February 8, 1996 - December 20, 1996
SII INVESTMENTS, INC.
May 19, 1995 - November 30, 1995
UNITED PACIFIC SECURITIES, INC.
March 8, 1994 - May 24, 1995
WORKMAN SECURITIES CORPORATION
February 3, 1992 - March 7, 1994
RELIASTAR FINANCIAL MARKETING CORP.
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.
