Mean What You Say

In an ever-changing industry, Compliance is an integral part of today’s business model and protecting your business is more important than ever. Now tripled in size, NEXT Financial Group's Compliance department's proactive and friendly approach adheres to federal, state and local regulations, while providing a wide range of solutions to guard against potential lawsuits. Our experienced team comes from diverse industry backgrounds enabling us to help provide complete and thorough guidance. We can assist you with many aspects of your business including but not limited to:

• Advertising Approvals (24-72 hour turnaround on standard literature)


• Branch Reviews


• Annual Compliance Meeting


• Firm Continuing Education


• Paperless Office


• Annual Compliance Questionnaire


• Licensing


• Outside Business Activities


• Regulatory Inquiries


• Investment Advisory Services