Conny K. Saab
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.
Conny K Saab was a registered financial professional .
Conny is a previously registered financial professional and started their career in finance in 1982. Conny had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 24, 2008 - June 17, 2019
NEXT FINANCIAL GROUP, INC.
December 23, 2008 - June 17, 2019
NEXT FINANCIAL GROUP, INC.
March 22, 2002 - December 24, 2008
EPLANNING ADVISORS INC
March 20, 2002 - December 24, 2008
EPLANNING SECURITIES, INC.
April 6, 1999 - March 20, 2002
LOCUST STREET SECURITIES, INC.
December 1, 1998 - March 31, 1999
WS GRIFFITH SECURITIES, INC.
December 29, 1982 - December 17, 1998
MML INVESTORS SERVICES, LLC
November 23, 1982 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
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 1
Date: 11/9/1971
Registered Representative ExaminationCurrent 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.
