Michael Arnold
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.
Michael Arnold, who also goes by Michael George Arnold, Michael Arnold, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2020 - July 29, 2022
NEXT FINANCIAL GROUP, INC.
January 2, 2020 - July 29, 2022
NEXT FINANCIAL GROUP, INC.
March 27, 2019 - May 3, 2019
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
February 11, 2019 - May 3, 2019
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
November 26, 2013 - February 18, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 25, 2013 - February 18, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 10, 2012 - June 25, 2012
PNC WEALTH MANAGEMENT LLC
May 2, 2012 - June 25, 2012
PNC WEALTH MANAGEMENT LLC
December 3, 2007 - June 10, 2011
WELLS FARGO CLEARING SERVICES, LLC
November 3, 2006 - June 10, 2011
WELLS FARGO CLEARING SERVICES, LLC
June 30, 2006 - October 26, 2006
RBC CAPITAL MARKETS, LLC
April 5, 2006 - April 7, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
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 7TO
Date: 2/11/2019
General Securities Representative ExaminationCurrent Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
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.
