Cecil Davis
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.
Cecil Davis II, who also goes by Cecil Charles Davis II, Cecil Charles Davis, Cecil Davis, was a registered financial professional .
Cecil is a previously registered financial professional and started their career in finance in 1997. Cecil had worked at 5 firms and has passed the Series 63, SIE 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
August 20, 2018 - September 4, 2019
NEXT FINANCIAL GROUP, INC.
March 25, 2017 - March 6, 2018
MML INVESTORS SERVICES, LLC
February 2, 2017 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
July 18, 2007 - February 3, 2017
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
January 22, 2002 - July 6, 2007
CADARET, GRANT & CO., INC.
November 6, 1997 - February 15, 2002
MUTUAL OF OMAHA INVESTOR SERVICES, 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 (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.
