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PROG

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SFor Invesment Profressional Use Only

NEXT continues to utilize a variety of educational and certification programs, as well as coaching and training programs which will benefit you, our valued Registered Representatives.

TO LEARN MORE ABOUT ANY OF THE LISTED PROGRAMS, PLEASE EMAIL [email protected] OR CALL 713-375-2612.

WWW.NEXTFINANCIAL.COM

C O A C H I N G , T R A I N I N G & C E R T I F I C A T I O N

NEXT Financial Group, Inc. provides Representatives the training, coaching and certification programs they look for to progress in all stages of doing business as a financial advisor. Through the numerous programs offered at NEXT, Representatives can further develop their skills and knowledge of the industry to better serve their clients and manage their businesses as independent advisors.

Staying well-informed on industry changes, best practices, and processes is paramount to responsible financial advisors.

NEXT currently offers eight high-quality programs that cover a broad spectrum of topics to meet the needs of our Representatives in whichever stage they are in their career. From certification licenses and one-on-one coaching, to succession planning, and practice management, many of the programs are developed by industry leaders in financial services training programs and always with the Representative in mind.

The financial industry is complex and ever-changing. NEXT programs assist you in navigating and being prepared for all that the industry offers. Participation in NEXT programs not only benefit you but also your staff, and ultimately, your clients.

In this Kit, you will find entries on each of the programs currently offered along with detailed descriptions, pricing information and who each program is targeted to. NEXT programs are part of your pathway to prosperity.

ABOUT NEXT PROGRAMS

PRACTICE MANAGEMENT SOLUTIONS... REFINED.WITH TRAINING, COACHING ANDCERTIFICATION OPTIONS.

The Prosperity Spectrum is a collective way to view all the various programs NEXT offers you, our valued Representatives, to succeed.

PROSPERITY SPECTRUMNEW

ADVISOR TRAINING

COACHING MARKETING

EDUCATION & CERTIFICATION

SUCCESSION PLANNING

ADMINISTRATION & SUPPORT

PROGRAMS | 54 | PROGRAMS

ADVI

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AM The Advisor Achievement Program (“AAP”) was created in 2015 by NEXT Financial Group, Inc. (“NEXT”) as a method for providing recognition to the firm’s Registered Representatives (“Representatives”) and help them continue growing and connecting with their clients. The program is comprised of four production tier levels ranging from $250k to over $1 million in Gross Dealer Concessions (“GDC”). Each level allows Representatives to receive different discounts and rewards based on their prior year-end GDC production. They can earn a variety of exclusive benefits, discounts, and subscriptions which have been hand-picked by NEXT’s executive team. The rewards system includes benefits such as:

Marketing creditDiscounts on technology services and subscriptionsWaived registration fee for National Education Conference (“NEC”)Client event supportPromotional Items reimbursements

Every January 1st, each Representative begins the qualification process anew.

To find out more about the Advisor Achievement Program, contact [email protected].

ADVISOR ACHIEVEMENT PROGRAM

$250 - $499,999k prior year-end GDC-Sapphire level$500k - $749,999k prior year-end GDC- Emerald level$750k - $999,999k prior year-end GDC- Ruby level$1Mil+ prior year-end GDC- Diamond level

IDEAL PARTICIPANT


REAL

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NG Real Wealth® Marketing (“Real Wealth®”) creates and maintains compliance approved weekly podcasts and webinars for NEXT Registered Representatives (“Representatives”). The podcasts are designed to educate clients and prospects, and to motivate them to take action in contacting the Representative. Each episode includes pre-written emails and social media content for the Representative to use.

The webinars, which are title Power Session LIVE, is an innovate webinar series featuring top leaders in the financial industry. Many of the topics they cover vary from top sales ideas to best practice strategies.

All services listed above are free to all NEXT Representatives. However, Real Wealth® does offer a Premier Membership to Representatives with discounted additional services including:

Personalized branding on the Real Wealth® weekly podcast.

Additional client relationship building campaigns (e.g., annual review reminders and birthday emails).

User account in the Real Wealth® Content Marketing System for marketing automation, analytics, prospecting information and design capabilities.

Automatic distribution of consumer marketing materials through advisor’s personal, compliant account in the Real Wealth® Content Marketing System.

One-on-one marketing consultations, onboarding support and compliance approval assistance with Real Wealth® Advisor Success Team.

Full access to the library of Power Session LIVE webinar recordings.

REAL WEALTH® MARKETING

Experienced Representatives (at least three years of experience; minimum GDC $150k)

IDEAL PARTICIPANT


This 1.5-day seminar is led by experienced financial representatives and coaches from Clarity 2 Prosperity (“Clarity”) and the National Association of Certified Financial Fiduciaries (“NACFF®”). It was developed to help Representatives implement a best-interest planning process with tools that will not only help the advisor find the right products to fit the plan, but ultimately close more sales. The program educates Representatives to systematize the sales process to meet the best interest standard, position clients’ assets and make recommendations using The Bucket Plan®. They will also learn new strategies that can help enhance the clients’ overall financial, tax, income, and legacy plans.

Ultimately, these teachings are to help participants lead with the plan and increase their prospect-to-client conversions. The education received through this seminar is compliant with both the fiduciary rule and best interest standards.

Through the Be Fiduciary program, participants will have the opportunity to earn the Certified Financial Fiduciary® (“CFF®”) designation* from the National Association of Certified Financial Fiduciaries (“NACFF®”); a FINRA recognized professional designation. Also, Representatives who are CFP® can earn 15.5 CE hours.

BE FIDUCIARY

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IDEAL PARTICIPANT

*Participants must complete the CFF training course and take the exam for the designation within 30 days from the date of the class. If the participant does not do so, they will reimburse NEXT in the amount of $1,500 towards the cost of the program, and either take the course again or pay an extension fee.

“When the media was touting fiduciary standards, prospects as well as my clients asked me ‘What is a fiduciary?’. Today, after taking the course and passing the exam, I have a document which people can see and touch, which answers the question. Be Fiduciary has helped me stand out in a confusing industry and give my clients a sense of security.”

-THIERRY SOMMER, NEXT REGISTERED REPRESENTATIVE


THE P

ATH

The Path is a division of training offered through Clarity 2 Prosperity (“C2P”), in conjunction with the Be Fiduciary training event*. The Path gives Representatives access to the turnkey, customizable financial planning processes and training they need to effectively create a holistic, best interest planning experience for their clients. It involves two in-depth financial planning process trainings:

The Bucket Plan® 1.0 Best Interest Process Training

The Bucket Plan® 2.0 Holistic Planning Process Training

The Path allows NEXT Representatives to learn through online classes, live training, and study guides, plus they have a dedicated business development and CFP® team to help implement plans with clients. In addition to the training available to master the planning processes, The Path members will receive The Bucket Plan® Certification, a tactical guide on The Bucket Plan® Marketing Strategies, and two consumer seminars to promote the planning strategies taught.

THE PATH

Experienced Representatives (at least five years of experience; minimum GDC $150k)

For more information, please contact (888)240-1923 or email [email protected].

IDEAL PARTICIPANT*Representatives are advised to complete the Be Fiduciary program prior to beginning The Path Program. Representatives who do so will receive a discount price on The Path Program. Representatives who participate in The Path Program will pay for it out-of-pocket.

This training will help advisors implement a best-interest planning process with tools that will not only help the advisor find the right products to fit the plan, but ultimately close more sales. The program educates Representatives to systematize the sales process to meet the best interest standard, position a client’s assets and make recommendations using The Bucket Plan®. They will also learn new strategies that can help enhance the client’s overall financial, tax, income, and legacy plan.

This training helps advisors master a four-step process to provide an uncommon breadth of service to clients in all areas of their financial well-being, including wealth management, tax planning, Social Security and Medicare planning, as well as long-term care and legacy planning, all while monetizing the Representatives’ wisdom through planning fees.


THE B

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This two-day seminar is led by experienced financial representatives and coaches from Clarity 2 Prosperity (“C2P”). It was developed to help Representatives create a client’s financial plan for their clients and find the right products to fit the plan. The program educates Representatives to gather and analyze documents and structure a client’s assets for now, soon and later years of retirement.

Ultimately, these teachings are to help participants to lead with the plan when working with their clients. The education received through this educational seminar is both compliant with the fiduciary rule and best interest standards.

THE BUCKET PLAN

Experienced Representatives (at least five years of experience; minimum GDC $175k)

IDEAL PARTICIPANT

*Includes hotel accommodations for two nights, certification exam and designation, breakfasts and lunches, training manuals, client materials and up to 15.5 CE hours for CFP®.


This six-month coaching program is led by experienced financial advisors and coaches from Cannon Financial Institute (“Cannon”). The Certified Wealth Strategist® (“CWS®*”) program offers training in client interaction, best practice training and business routines (i.e., formal planning, modular planning and goals-based planning).

The CWS® program allows NEXT Representatives the option to either face-to-face meetings or to attend an online version of the program. At the end of the program, attendees are required to complete a written presentation synthesizing the knowledge, skills and activities taught in the program. Upon completion, Representatives may acquire the designation of CWS®; a FINRA recognized professional designation. This designation aligns the needs of financial services firms, advisors and consumers.

CANNON: CWS

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IDEAL PARTICIPANT

*It is advised for a Representative to maintain their certification, to meet the continuing education requirements of the CWS® to include 33 hours of approved programs on accepted subject every 2 years from the time of initial certification or recertification. In addition, Representatives should renew their certification every 2 years at the cost of $350.


This year long coaching program has Representatives working one-on-one with the program’s coach. Throughout the duration of the program, participants will learn best business practices and structure their practice as a business instead of a service. Representatives will also gain insight on how to strengthen their marketing skills and promote their business more effectively.

Participating Representatives will have monthly calls with the coach and will have access to live webinars with compliance-approved guest speakers, on a variety of topics. They will also receive The High-Net-Worth Advisor Minute newsletter every month. This newsletter highlights the underlying strategies and techniques needed to grow your business.

HIGH-NET-WORTH-ADVISORONE-ON-ONE

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ORExperienced Representatives (at least three years of experience; minimum GDC of $150k)Representatives new to the industry

IDEAL PARTICIPANT


This yearlong coaching program has fellow NEXT Representatives working alongside one another and with the program’s coach. Throughout the duration of the program, participants will learn best business practices and structure their practice as a business instead of a service. Representatives will also gain insight on how to strengthen their marketing skills and promoting their business more effectively. The program consists of two-day live seminars at the beginning of the program and at the end. In between these seminars, Representatives are invited to attend five monthly calls with the program’s coach and fellow NEXT Representatives. Participants will also have access to live webinars with compliance-approved guest speakers on a variety of topics. They will also receive The High-Net-Worth Advisor Minute newsletter every month. This newsletter highlights the underlying strategies and techniques needed to grow your business.

HIGH-NET-WORTH-ADVISORWORKSHOPS

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ORExperienced Representatives (at least three years of experience; minimum GDC of $150k)Representatives new to the industry

IDEAL PARTICIPANT

*Includes hotel accommodations and food. DOES NOT COVER TRAVEL EXPENSES.


This six-month coaching program is between the program’s coach and NEXT administrative assistants or support staff members for NEXT Registered Representatives. The program was designed to provide participants who work with NEXT Representatives the strategies and techniques needed to perform at their highest level.

The assistants or support staff members will attend monthly one-hour calls, where they will learn ways to run their Representatives’ offices more efficiently and smoothly. They will be taught how to manage multiple priorities and to communicate more professionally with their Representative and their clientele. Participants will also learn how to organize meeting schedules, marketing activities and event planning to promote the practice.

HIGH-NET-WORTH-ADVISORASSISTANT

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ORAdministrative AssistantsSupport Staff Members

IDEAL PARTICIPANT


NEXT

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This two-day event occurs annually in Houston, TX and is hosted by the NEXT Home Office Employees. NEXT University was designed to familiarizes NEXT Representatives and Support Staff members with the resources available to support them when working with NEXT’s back-office operations. It also allows them to explore new practice management solutions to use daily at their practices. Throughout the event, participants can become better acquainted with many NEXT employees throughout various departments, including Information Technology, Operations, Marketing, Commissions, Compliance and more.

At the end of the event, all participants will receive a certificate of completion.

NEXT UNIVERSITY

Administrative Assistants & Support Staff MembersNew RepresentativesExperienced Representatives

IDEAL PARTICIPANTS

“NEXT University helped promote relationships within the NEXT organization. The topics covered brought valuable information, which has helped me in my day-to-day task of running and maintaining an advisor’s office.”

-JEANA BROWN, NEXT REGISTERED SUPPORT STAFF


SERI

ES 66

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NEXT Representatives who have earned their Series 6 or Series 7 license, are invited to obtain their Series 66 or Series 63 and 65. Representatives will have the ability to sell securities, provide financial advice or service on a non-commission basis with these licenses.

The Series 66, which is known as the Uniform Combined State Law license, allows qualified individuals as investment advisor representatives or securities agent. Those who wish to be IARs must pass the Series 66 and the Series 7. This license is essentially a combination of the Series 63 and Series 65, but since a requirement for receiving this license is a successful completion of the Series 7, it does not include the product, analysis and strategy questions which is a large part of the Series 65 exam.

The Series 63 license, known as the Uniform Securities Agent license, is required by each state and authorizes licensees to transact business within the state. This license entitles the holder to solicit orders for any type of security in a particular state. Representatives must acquire this series, in addition to a Series 7 or Series 6 license, to sell securities.

The Series 65, known as the Uniform Investment Adviser Law license, permits qualified individuals to function as an Investment Advisor Representative in certain states. This license is required by anyone intending to provide any kind of financial advice or service on a non-commission basis. Financial planners and advisors who provide investment advice for an hourly fee fall into this category, as do other registered representatives who deal with managed-money accounts.

Representatives can earn these licenses either through Kaplan Financial Education (“Kaplan”) or Training Consultants. Both companies provide representatives various ways to earn their Series 66 or their Series 63 and Series 65, including online or live classes. Kaplan and Training Consultants also supply the study material as well as study guides to Representatives, at their expense.

SERIES 66, SERIES 63 & SERIES 65

Experienced Representatives with a Series 6 or Series 7.

IDEAL PARTICIPANTPROGRAMS | 2726 | PROGRAMS

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