Vincent A. Krey
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.
Vincent Alan Krey, who also goes by VInce A Krey, Vince Krey, Vincent A Krey, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1995. Vincent had worked at 7 firms and has passed the Series 63, Series 7 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
November 4, 2004 - January 21, 2005
NEXT FINANCIAL GROUP, INC.
January 1, 2004 - November 8, 2004
VOYA FINANCIAL ADVISORS, INC.
December 12, 2000 - January 1, 2004
LOCUST STREET SECURITIES, INC.
June 25, 1999 - December 11, 2000
NATIONAL PLANNING CORPORATION
June 20, 1997 - June 28, 1999
FSC SECURITIES CORPORATION
August 29, 1995 - July 17, 1997
IDS LIFE INSURANCE COMPANY
August 29, 1995 - July 17, 1997
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.
