Scott E. Pochowski
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.
Scott Edward Pochowski was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1997. Scott had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 7 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 11, 2012 - December 31, 2021
NEXT FINANCIAL GROUP, INC.
May 11, 2012 - December 31, 2021
NEXT FINANCIAL GROUP, INC.
December 13, 2010 - May 25, 2012
POLAR INVESTMENT COUNSEL, INC.
November 19, 2010 - May 25, 2012
POLAR INVESTMENT COUNSEL, INC.
October 31, 2001 - November 23, 2010
EDWARD JONES
October 31, 2001 - November 23, 2010
EDWARD JONES
July 30, 2001 - October 30, 2001
LINCOLN INVESTMENT
May 19, 2000 - March 23, 2001
STRONG INVESTMENTS, INC.
September 27, 1999 - May 31, 2000
VISUN SECURITIES CORPORATION
October 16, 1997 - June 19, 1999
NEW ENGLAND SECURITIES
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 7TO
Date: 2/5/2024
General Securities Representative ExaminationSeries 6TO
Date: 2/5/2024
Investment Company Products/Variable Contracts Representative 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.
