Kimberly D. Schnepp
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.
Kimberly Dawn Schnepp, who also goes by Kimberly Dawn Schnepp, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 2006. Kimberly had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 4, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2025 - December 9, 2025
NEXT FINANCIAL GROUP, INC.
August 19, 2024 - August 4, 2025
GROVE POINT ADVISORS, LLC
August 19, 2024 - August 4, 2025
GROVE POINT INVESTMENTS, LLC
February 26, 2019 - September 26, 2023
NORTHERN TRUST SECURITIES, INC.
February 7, 2019 - September 26, 2023
NORTHERN TRUST SECURITIES, INC.
December 22, 2017 - January 30, 2019
FFEC WEALTH PARTNERS LLC
December 7, 2017 - January 30, 2019
FFEC WEALTH PARTNERS LLC
March 16, 2017 - December 4, 2017
NEXT FINANCIAL GROUP, INC.
March 14, 2017 - December 4, 2017
NEXT FINANCIAL GROUP, INC.
August 2, 2012 - May 9, 2016
LPL FINANCIAL LLC
August 1, 2012 - May 9, 2016
LPL FINANCIAL LLC
October 29, 2008 - April 4, 2012
EQUITABLE ADVISORS, LLC
December 11, 2006 - April 4, 2012
EQUITABLE ADVISORS, 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.
