Alan B. Carroll

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CRD#: 4468080

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.

Alan Bruce Carroll, who also goes by Alan B Carroll, was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 2001. Alan had worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alan B Carroll

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 7, 2008 - July 1, 2020

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

VICTORIA, TX

Past

March 7, 2008 - July 1, 2020

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

VICTORIA, TX

Past

October 18, 2005 - March 10, 2008

CAPITAL FINANCIAL SERVICES, INC.

RIA

CRD#: 8408

VICTORIA, TX

Past

October 18, 2005 - March 10, 2008

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

VICTORIA, TX

Past

December 18, 2003 - October 19, 2005

JESUP & LAMONT ADVISORS

RIA

CRD#: 108006

VICTORIA, TX

Past

November 25, 2003 - October 19, 2005

EMPIRE FINANCIAL GROUP, INC.

CRD#: 28759

LONGWOOD, FL

Past

January 23, 2003 - February 6, 2004

FREEDOM ASSET MANAGEMENT, INC.

RIA

CRD#: 109654

VICTORIA, TX

Past

January 2, 2003 - November 26, 2003

FREEDOM FINANCIAL, INC.

CRD#: 45850

OMAHA, NE

Past

July 1, 2002 - January 7, 2003

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

Past

November 12, 2001 - July 1, 2002

LUTHERAN BROTHERHOOD SECURITIES CORP.

CRD#: 4205

MINNEAPOLIS, MN

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

IAR

Series 66

Date: 1/3/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/9/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 8/15/2008

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/10/2004

General Securities Principal Examination

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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Firm Stability Insights

Alan B. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NEXT FINANCIAL GROUP, INC.

CAPITAL FINANCIAL SERVICES, INC.

CAPITAL FINANCIAL SERVICES, INC.

JESUP & LAMONT ADVISORS

EMPIRE FINANCIAL GROUP, INC.

FREEDOM ASSET MANAGEMENT, INC.

FREEDOM FINANCIAL, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

LUTHERAN BROTHERHOOD SECURITIES CORP.

Primary Firm SEC Registration

NEXT FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/3/2002

SIE

Date: 10/1/2018

Series 7

Date: 11/9/2001

Series 51

Date: 8/15/2008

Series 24

Date: 3/10/2004

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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