Thad M. Letzer
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.
Thad Michael Letzer, who also goes by Thad Michael Letzer, Thad Letzer, was a registered financial professional .
Thad is a previously registered financial professional and started their career in finance in 1998. Thad had worked at 8 firms and has passed the Series 65, 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
January 15, 2021 - May 5, 2022
NEXT FINANCIAL GROUP, INC.
September 14, 2015 - January 18, 2019
MML DISTRIBUTORS, LLC
October 21, 2013 - June 15, 2015
PAYCHEX SECURITIES CORPORATION
December 13, 2012 - October 16, 2013
MANULIFE INVESTMENT MANAGEMENT (US) LLC
May 2, 2011 - October 16, 2013
JOHN HANCOCK DISTRIBUTORS LLC
August 3, 2010 - April 18, 2011
AMERITAS INVESTMENT COMPANY, LLC
June 30, 2006 - April 18, 2011
AMERITAS INVESTMENT COMPANY, LLC
May 23, 2006 - June 30, 2006
CARILLON INVESTMENTS, INC.
April 12, 2001 - April 17, 2006
GBS RETIREMENT SERVICES, INC.
November 3, 1998 - April 3, 2001
JOHN HANCOCK DISTRIBUTORS 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
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.
