Full text of NEXT FINANCIAL GROUP, INC.'s X-17A-5 filed 2022-03-31 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 # ANNUAL REPORTS FORM X-17A-5 PART III SEC FILE NUMBER 8-51356 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 FILING FOR THE PERIOD BEGINNING 01/01/2021 12/31/2021 AND ENDING MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF FIRM: NEXT Financial Group, Inc. TYPE OF REGISTRANT (check all applicable boxes): മ Broker-dealer □ Check here if respondent is also an ΘTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 2500 Wilcrest Drive, Suite 620 (No. and Street) Houston TX 77042 (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Donald J. Taylor (315) 471-2191 dtaylor@cadaretgrant.com (Name) (Area Code - Telephone Number) (Email Address) B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* Citrin Cooperman, LLP (Name - if individual, state last, first, and middle name) 50 Rockefeller Plaza New York NY 10020 (Address) (City) (State) (Zip Code) 11/02/2005 2468 (Date of Registration with PCAOB)(if applicable) (PCAOB Registration Number, if applicable) FOR OFFICIAL USE ONLY \* Claims for exemption from the requirement that the annual reports be covered by the reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. {1}------------------------------------------------ | OATH OR AFFIRMATION | | | | |---------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|--| | | Donald J. Taylor<br>swear (or affirm) that, to the best of my knowledge and belief, the<br>financial report pertaining to the firm of<br>NEXT Financial Group, Inc.<br>as of | | | | | December 31<br>__________________________________________________________________________________________________________________________________________________…Read the full text as markdown