Stuart M. Schulman
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.
Stuart Martin Schulman, who also goes by Stuart M Schulman, was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1978. Stuart had worked at 11 firms and has passed the Series 65, Series 63, Series 7, Series 53 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
March 24, 2009 - November 9, 2012
NEXT FINANCIAL GROUP, INC.
March 18, 2009 - November 9, 2012
NEXT FINANCIAL GROUP, INC.
March 22, 2007 - February 24, 2009
VFINANCE ADVISORS, INC.
March 21, 2007 - February 24, 2009
VFINANCE INVESTMENTS, INC
June 14, 2006 - April 10, 2007
JANNEY MONTGOMERY SCOTT LLC
November 19, 1998 - April 10, 2007
JANNEY MONTGOMERY SCOTT LLC
April 12, 1993 - November 16, 1998
CIBC WORLD MARKETS CORP.
November 9, 1989 - April 20, 1993
RAYMOND JAMES & ASSOCIATES, INC.
October 30, 1989 - November 13, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 19, 1989 - November 7, 1989
KIDDER, PEABODY & CO. INCORPORATED
November 15, 1984 - September 23, 1989
PRUDENTIAL EQUITY GROUP, LLC
March 6, 1981 - November 21, 1984
CITIGROUP GLOBAL MARKETS INC.
September 26, 1978 - April 25, 1981
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 21, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
Current 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.
