Kelly Tobin
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.
Kelly Tobin, who also goes by Kelly A. Tobin, Kelly Anne Tobin, Kelly Anne Tobin, was a registered financial professional .
Kelly is a previously registered financial professional and started their career in finance in 1998. Kelly had worked at 12 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53, Series 4 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
July 14, 2025 - December 9, 2025
NEXT FINANCIAL GROUP, INC.
September 10, 2018 - September 4, 2025
GROVE POINT INVESTMENTS, LLC
June 21, 2016 - April 24, 2018
INVEST FINANCIAL CORPORATION
November 18, 2015 - December 2, 2015
RAYMOND JAMES & ASSOCIATES, INC.
May 25, 2012 - November 24, 2014
E*TRADE CLEARING LLC
April 24, 2012 - January 21, 2014
G1 EXECUTION SERVICES, LLC
October 19, 2004 - November 24, 2014
E*TRADE SECURITIES LLC
July 1, 2003 - April 26, 2004
WELLS FARGO CLEARING SERVICES, LLC
January 28, 2003 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 28, 2003 - March 3, 2004
PRUCO SECURITIES, LLC.
June 30, 2001 - October 30, 2002
DATEK ONLINE FINANCIAL SERVICES LLC
August 31, 1998 - June 30, 2001
ICAPITAL MARKETS 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent 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.
