Travis Grimm
Professional summary
Travis Grimm, who also goes by Travis L. Grimm, Travis Lloyd Grimm, is a registered financial professional currently at CADARET, GRANT & CO., INC. located in Syracuse, New York and NEXT FINANCIAL GROUP, INC. located in Houston, Texas.
Travis is registered as a RR (Registered Representative) and started their career in finance in 1999. Travis has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 4, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2019 - Present
CADARET, GRANT & CO., INC.
Office #1: 100 Madison Street Suite 1300, Syracuse, NY 13202August 13, 2019 - Present
NEXT FINANCIAL GROUP, INC.
Office #1: 11740 Katy Freeway Suite 600, Houston, TX 77079January 29, 2025 - September 4, 2025
GROVE POINT INVESTMENTS, LLC
November 11, 2021 - September 4, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
November 11, 2021 - September 4, 2025
SCF SECURITIES, INC.
October 11, 2019 - September 4, 2025
SORRENTO PACIFIC FINANCIAL, LLC
November 4, 2008 - September 9, 2009
ZIONS DIRECT, INC.
July 25, 2008 - September 9, 2009
ZIONS CAPITAL ADVISORS, INC.
November 1, 2000 - April 27, 2004
MORGAN STANLEY DW INC.
May 14, 1999 - November 1, 2000
MORGAN STANLEY DEAN WITTER ONLINE INC.
February 26, 1999 - April 29, 1999
FIDELITY BROKERAGE SERVICES 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
FINRA
Current Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 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.
Company Information
NEXT FINANCIAL GROUP, INC.
CRD#: 46214Syracuse, NY 13202TRUST BUT VERIFY
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