Michael R. Seagraves
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.
Michael Ray Seagraves was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 4 firms and has passed the Series 63 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
May 26, 2008 - October 26, 2010
NEXT FINANCIAL GROUP, INC.
February 15, 2001 - May 30, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 22, 2000 - December 18, 2000
FIRST MONTAUK SECURITIES CORP.
August 17, 1998 - November 15, 1999
FIRST MONTAUK SECURITIES CORP.
February 27, 1998 - June 25, 1998
CENTENNIAL CAPITAL MANAGEMENT, 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.
