Claiborne H. Kinnard
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.
Claiborne Holmes Kinnard V, who also goes by Claiborne Holmes Kinnard, Claiborne Holmes V Kinnard, Wink Kinnard, was a registered financial professional .
Claiborne is a previously registered financial professional and started their career in finance in 1971. Claiborne had worked at 10 firms and has passed the Series 63, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2006 - August 7, 2006
NEXT FINANCIAL GROUP, INC.
August 4, 2005 - February 28, 2006
BOLTON GLOBAL CAPITAL
January 4, 1999 - August 4, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 3, 1989 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
May 31, 1989 - June 30, 1989
FIRST AFFILIATED SECURITIES
November 4, 1986 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
May 18, 1976 - August 27, 1976
BACHE & CO INCORPORATED
May 3, 1976 - November 7, 1986
PRUDENTIAL EQUITY GROUP, LLC
March 24, 1971 - June 6, 1976
J.C. BRADFORD & CO.
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
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
Series 1
Date: 3/9/1971
Registered Representative ExaminationSeries 40
Date: 8/10/1976
Registered Principal ExaminationCurrent Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
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.
