Kimberly D. Schnepp

NEXT FINANCIAL GROUP

Houston, TX 77079

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CRD#: 5241886

Professional summary

Kimberly Dawn Schnepp, who also goes by Kimberly Dawn Schnepp, is a registered financial professional currently at NEXT FINANCIAL GROUP, INC. located in Houston, Texas.

Kimberly is registered as a RR (Registered Representative) and started their career in finance in 2006. Kimberly has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 4, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kimberly Dawn Schnepp

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.

Door Dash. Employee. Not investment-related. Food pickup and delivery. 1 - 20 hours per week. None during trading hours. 303 2nd St, San Francisco, CA 94107. Start February 15, 2020.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kimberly Dawn Schnepp's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

August 4, 2025 - Present

NEXT FINANCIAL GROUP, INC.

Office #1: 11740 Katy Freeway Suite 600, Houston, TX 77079

RIA

CRD#: 46214

Houston, TX

Past

August 19, 2024 - August 4, 2025

GROVE POINT ADVISORS, LLC

RIA

CRD#: 313171

Phoenix, AZ

Past

August 19, 2024 - August 4, 2025

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

February 26, 2019 - September 26, 2023

NORTHERN TRUST SECURITIES, INC.

RIA

CRD#: 7927

Tempe, AZ

Past

February 7, 2019 - September 26, 2023

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

Tempe, AZ

Past

December 22, 2017 - January 30, 2019

FFEC WEALTH PARTNERS LLC

RIA

CRD#: 16507

SCOTTSDALE, AZ

Past

December 7, 2017 - January 30, 2019

FFEC WEALTH PARTNERS LLC

CRD#: 16507

SCOTTSDALE, AZ

Past

March 16, 2017 - December 4, 2017

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

PHOENIX, AZ

Past

March 14, 2017 - December 4, 2017

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

PHOENIX, AZ

Past

August 2, 2012 - May 9, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

August 1, 2012 - May 9, 2016

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

October 29, 2008 - April 4, 2012

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

SCOTTSDALE, AZ

Past

December 11, 2006 - April 4, 2012

EQUITABLE ADVISORS, LLC

CRD#: 6627

SCOTTSDALE, AZ

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: 8/7/2007

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: 12/8/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/15/2019

Registered Options Principal Examination

Principal/Supervisory Exam

Series 51

Date: 11/12/2008

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/26/2007

General Securities Principal Examination

SRO Registrations

FINRA

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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Advisor Monitoring

Firm Stability Insights

Kimberly D. Schnepp

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kimberly Dawn Schnepp's CRS (Customer Relationship Summary).

Certified licenses

Experience

GROVE POINT ADVISORS, LLC

GROVE POINT INVESTMENTS, LLC

NORTHERN TRUST SECURITIES, INC.

NORTHERN TRUST SECURITIES, INC.

FFEC WEALTH PARTNERS LLC

FFEC WEALTH PARTNERS LLC

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

NEXT FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/7/2007

SIE

Date: 10/1/2018

Series 7

Date: 12/8/2006

Series 4

Date: 3/15/2019

Series 51

Date: 11/12/2008

Series 24

Date: 3/26/2007

FINRA

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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