Kelly Tobin

NEXT FINANCIAL GROUP

Houston, TX 77079

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CRD#: 3091045

Professional summary

Kelly Tobin, who also goes by Kelly A. Tobin, Kelly Anne Tobin, Kelly Anne Tobin, is a registered financial professional currently at NEXT FINANCIAL GROUP, INC. located in Houston, Texas.

Kelly is registered as a RR (Registered Representative) and started their career in finance in 1998. Kelly has 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

Are you a "fiduciary"?

Aliases

Kelly A. Tobin | Kelly Anne Tobin | Kelly Anne Tobin

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kelly Tobin's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 14, 2025 - Present

NEXT FINANCIAL GROUP, INC.

Office #1: 11740 Katy Freeway Suite 600, Houston, TX 77079

RIA

CRD#: 46214

Houston, TX

Past

September 10, 2018 - September 4, 2025

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

June 21, 2016 - April 24, 2018

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

November 18, 2015 - December 2, 2015

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

May 25, 2012 - November 24, 2014

E*TRADE CLEARING LLC

CRD#: 25025

JERSEY CITY, NJ

Past

April 24, 2012 - January 21, 2014

G1 EXECUTION SERVICES, LLC

CRD#: 111528

CHICAGO, IL

Past

October 19, 2004 - November 24, 2014

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

Past

July 1, 2003 - April 26, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

January 28, 2003 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 28, 2003 - March 3, 2004

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

June 30, 2001 - October 30, 2002

DATEK ONLINE FINANCIAL SERVICES LLC

CRD#: 36807

JERSEY CITY, NJ

Past

August 31, 1998 - June 30, 2001

ICAPITAL MARKETS LLC

CRD#: 5209

OMAHA, NE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEXT FINANCIAL GROUP, INC.

CAPITAL CONSULTING GROUP | NEXT FINANCIAL GROUP, INC. | NEXT ADVISORY SERVICES

CRD#: 46214 / SEC#: 801-56786, 8-51356

RIA

Registered Investment Advisory firm - SEC (8/20/1999 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/17/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/29/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/8/2012

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/29/2000

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/24/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NEXT FINANCIAL GROUP, INC.

CAPITAL CONSULTING GROUP | NEXT FINANCIAL GROUP, INC. | NEXT ADVISORY SERVICES

CRD#: 46214 / SEC#: 801-56786, 8-51356

RIA

Registered Investment Advisory firm - SEC (8/20/1999 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

11740 Katy Freeway Suite 600, Houston, TX 77079

Mailing Address

11740 Katy Freeway Suite 600, Houston, TX 77079

Phone number

(713) 789-7122

Established

Virginia since 06/28/1998

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

564

SEC notice filing (53 States and Territories)

FINRA licenses (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NEXT FORM ADV PART 2A BROCHURE MARCH 2025 (3/28/2025)

CONTOUR WRAP FEE PROGRAM BROCHURE MARCH 2025 (3/28/2025)

VISIONARY MULTI-MANAGER PROGRAM BROCHURE MARCH 2025 (3/28/2025)

NEXT SELECT WRAP FEE BROCHURE MARCH 2025 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
NEXT FINANCIAL HOLDINGS INC.	SHAREHOLDER
HAWLEY, AMANDA CANDELMO	CORPORATE SECRETARY	3214453
SCHUMANN, ALEXIS V	ADVISORY CHIEF COMPLIANCE OFFICER	3157769
SCHUMANN, ALEXIS V	CHIEF COMPLIANCE OFFICER	3157769
TYMKIW, TRISHA LYNN	PRINCIPAL FINANCIAL OFFICER	3197368

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	Cover Page	Report
06/28/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Kelly Tobin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kelly Tobin's CRS (Customer Relationship Summary).

Certified licenses

Experience

GROVE POINT INVESTMENTS, LLC

INVEST FINANCIAL CORPORATION

RAYMOND JAMES & ASSOCIATES, INC.

E*TRADE CLEARING LLC

G1 EXECUTION SERVICES, LLC

E*TRADE SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUCO SECURITIES, LLC.

DATEK ONLINE FINANCIAL SERVICES LLC

ICAPITAL MARKETS LLC

Primary Firm SEC Registration

NEXT FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/17/1998

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/29/1998

Series 53

Date: 3/8/2012

Series 4

Date: 8/29/2000

Series 24

Date: 11/24/1999

FINRA

Current Firm

NEXT FINANCIAL GROUP, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (10 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

NEXT FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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