Robert D. Wickard
Professional summary
Robert Douglas Wickard was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, Robert had worked at 5 firms, which includes NEXT FINANCIAL GROUP INC., ANDERSON & STRUDWICK INCORPORATED, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, FAIRCHILD FINANCIAL GROUP INC., L.C. WEGARD & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2007 - October 15, 2012
NEXT FINANCIAL GROUP, INC.
November 14, 2007 - October 15, 2012
NEXT FINANCIAL GROUP, INC.
October 21, 2005 - November 14, 2007
ANDERSON & STRUDWICK, INCORPORATED
October 21, 2005 - November 14, 2007
ANDERSON & STRUDWICK, INCORPORATED
February 22, 1999 - November 10, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 18, 1996 - November 10, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 20, 1995 - November 15, 1996
FAIRCHILD FINANCIAL GROUP, INC.
October 20, 1994 - November 21, 1995
L.C. WEGARD & CO., INC.
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.
