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CRD 174182
BIRMINGHAM, AL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| TED ALAN BISKIND | n/a | BIRMINGHAM, AL | Cleveland, OH | 11 | 39 | 2 | yes |
| RODNEY ANDREW MACINTYRE | Certified Financial Planner | BIRMINGHAM, AL | Blooming Glen, PA | 11 | 45 | 2 | yes |
| RICHARD DENNIS MAGGIO | n/a | Garfield Heights, OH | BIRMINGHAM, AL | 11 | 25 | 1 | yes |
| JACQUELINE NOVECK | Chartered Financial Consultant | BIRMINGHAM, AL | Largo, FL | 11 | 33 | 3 | yes |
| SCOTT CURTIS BUTLER | Certified Financial Planner | BIRMINGHAM, AL | FT MYERS BEACH, FL | Nazareth, PA | 11 | 41 | 2 | yes |
| KEVIN SCOTT DICK | n/a | TIFFIN, OH | BIRMINGHAM, AL | 11 | 25 | 2 | yes |
| ALISTAIR MCKEE KELLY | Certified Financial Planner | BIRMINGHAM, AL | Hermitage, PA | 11 | 38 | 1 | yes |
| WILLIAM ALBERT MARTIN | Chartered Financial Consultant | Laconia, NH | BIRMINGHAM, AL | 11 | 32 | 3 | yes |
| DANIEL JOSEPH MITTLESTEADT | n/a | BIRMINGHAM, AL | Worthington, OH | 11 | 25 | 1 | yes |
| LINWOOD LAMAR GEHRIS | n/a | BIRMINGHAM, AL | Schnecksville, PA | 11 | 13 | 1 | yes |
| JONATHAN ALAN ROSENTHAL | n/a | BIRMINGHAM, AL | SCOTTSDALE, AZ | 11 | 39 | 1 | yes |
| DAVID ORVAL KLEMME | n/a | BIRMINGHAM, AL | NORTH PORT, FL | West Fafayette, IN | 11 | 38 | 2 | yes |
| KENNETH JAMES POPOVEC | Certified Financial Planner | Canfield, OH | BIRMINGHAM, AL | 11 | 38 | 1 | yes |
| JEFFREY ANDREW STREET | Certified Financial Planner | BIRMINGHAM, AL | North Andover, MA | 11 | 38 | 1 | yes |
| ROBERT CHARLES JOHNSON | n/a | BIRMINGHAM, AL | Columbus, OH | 11 | 25 | 1 | yes |
| JEFFREY SCOTT HELGESON | Chartered Financial Consultant | Lynchburg, VA | LYNCHBURG, VA | BIRMINGHAM, AL | 11 | 37 | 3 | yes |
| RANDALL KEITH BEARD | n/a | BIRMINGHAM, AL | NILES, OH | 11 | 31 | 1 | yes |
| RONALD JAMES TINE | Chartered Financial Consultant | BIRMINGHAM, AL | Glastonbury, CT | 11 | 34 | 2 | yes |
| PAULINE ELKINS ROSENSTEIN | Certified Financial Planner | BIRMINGHAM, AL | Annandale, VA | 11 | 35 | 2 | yes |
| GREGORY DEE HOVANIC | n/a | BIRMINGHAM, AL | Warren, OH | 11 | 37 | 1 | yes |
| MARK HUGO | n/a | WINDSOR LOCKS, CT | BIRMINGHAM, AL | 11 | 26 | 2 | yes |
| VINCENT GORDON MARBURY | n/a | Stratford, CT | BIRMINGHAM, AL | 11 | 28 | 1 | yes |
| STEPHEN ANTHONY BEAM | n/a | Woburn, MA | BIRMINGHAM, AL | 11 | 34 | 6 | yes |
| DAVID WHITCOMB HENNINGS | n/a | OAK PARK, IL | BIRMINGHAM, AL | 11 | 34 | 3 | yes |
| PETER ARTHUR TEDDE | n/a | Youngstown, OH | BIRMINGHAM, AL | 11 | 26 | 1 | yes |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CHAMBLESS, ANDREW, R | GENERAL COUNSEL | Na | yes | 12/2014 | Jun 17, 2026 | Jun 17, 2026 |
| DAVISON, STUART, ANDREW | Director | Na | yes | 05/2024 | Jun 17, 2026 | Jun 17, 2026 |
| DUNAWAY, WILLIAM, JOHN | Director | Na | yes | 08/2016 | Jun 17, 2026 | Jun 17, 2026 |
| LYON, CHARLES, MARTIN | Director | Na | yes | 08/2016 | Jun 17, 2026 | Jun 17, 2026 |
| MAURER, MARK, L | Director | Na | yes | 06/2021 | Jun 17, 2026 | Jun 17, 2026 |
| McAuslan, James, Buchanan | Director | Na | yes | 07/2025 | Jun 17, 2026 | Jun 17, 2026 |
| PARKER, BRIAN, LANE | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2026 | Jun 17, 2026 | Jun 17, 2026 |
| PORZIO, JOSEPH, JOHN | CHIEF FINANCIAL OFFICER | Na | yes | 09/2021 | Jun 17, 2026 | Jun 17, 2026 |
| RICHARDSON, MARCUS, BRYANT | CHIEF OPERATIONS OFFICER / CHIEF EXECUTIVE OFFICER | Na | yes | 09/2014 | Jun 17, 2026 | Jun 17, 2026 |
| SMITH, PHILIP, ANDREW | Director | Na | yes | 01/2025 | Jun 17, 2026 | Jun 17, 2026 |
| CALVANO, JOHN, FRANCIS | CHIEF COMPLIANCE OFFICER | Na | yes | 02/2017 | Jan 18, 2018 | Dec 18, 2024 |
| CARTER, JAY, WILSON | CHIEF EXECUTIVE OFFICER | Na | yes | 12/2015 | Dec 28, 2015 | Dec 18, 2024 |
| O'CONNOR, SEAN, MICHAEL | Director | Na | yes | 08/2016 | Sep 1, 2016 | Dec 18, 2024 |
| STONEX GROUP INC. | 100% OWNER | E | yes | 07/2016 | Jul 21, 2020 | Dec 18, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| TRUST ADVISORY GROUP LTD | n/a | Independent wealth | $314M | Y | no | n/a |
| STONEX FINANCIAL INC. | n/a | n/a | n/a | N | yes | Al |
| STONEX SECURITIES INC. | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Birmingham | Al | United States | 6 | yes |
| BLUE BELL | Pa | United States | 6 | yes |
| Miami | FL | United States | 5 | yes |
| Richmond | Va | United States | 5 | yes |
| Covington | Ky | United States | 4 | yes |
| Lousiville | Ky | United States | 4 | yes |
| BATON ROUGE | La | United States | 4 | yes |
| GARFIELD HEIGHTS | Oh | United States | 4 | yes |
| Florence | Al | United States | 3 | yes |
| Huntsville | Al | United States | 3 | yes |
| Ridgeland | Ms | United States | 3 | yes |
| Worthington | Oh | United States | 3 | yes |
| Youngstown | Oh | United States | 3 | yes |
| Brentwood | Tn | United States | 3 | yes |
| Franklin | Tn | United States | 3 | yes |
| Fairhope | Al | United States | 2 | yes |
| Montgomery | Al | United States | 2 | yes |
| ORMOND BEACH | FL | United States | 2 | yes |
| Brookville | In | United States | 2 | yes |
| Cornelius | Nc | United States | 2 | yes |
| Poland | Oh | United States | 2 | yes |
| Kulpmont | Pa | United States | 2 | yes |
| Orefield | Pa | United States | 2 | yes |
| Chattanooga | Tn | United States | 2 | yes |
| n/a | n/a | n/a | 2 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 25, 2026 | $5.1B | $3.8B | 220 | 220 | 155 | n/a | n/a |
| 2024 | Mar 12, 2025 | $4.5B | $3.1B | 233 | 233 | 147 | n/a | n/a |
| 2023 | Dec 19, 2023 | $3.3B | $2.1B | 242 | 242 | 153 | n/a | n/a |
| 2022 | Dec 22, 2022 | $2.5B | $1.7B | 282 | 245 | 173 | n/a | n/a |
| 2021 | Dec 20, 2021 | $3.2B | $2.1B | 274 | 254 | 164 | n/a | n/a |
| 2020 | Dec 24, 2020 | $2.1B | $1.3B | 255 | 245 | 151 | n/a | n/a |
| 2019 | Dec 24, 2019 | $478M | $478M | 265 | 245 | 151 | n/a | n/a |
| 2018 | Dec 24, 2018 | $1.4B | $466M | 265 | 245 | 146 | n/a | n/a |
| 2017 | Dec 22, 2017 | $1.2B | $654M | 265 | 245 | 146 | n/a | n/a |
| 2016 | Dec 19, 2016 | $1.1B | $484M | 345 | 285 | n/a | n/a | n/a |
| 2015 | Dec 28, 2015 | $845M | $620M | 335 | 210 | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 9 | 22 | -13 | 9.4% | 2 | 2 | 0 | 21 | 49 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $5.1B | $4.5B | 12.8% | $2.5B | 26.3% | 220 | 233 | 155 | 147 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| LPL FINANCIAL LLC | 3 | Jun 2, 2026 | Jun 3, 2026 | BIRMINGHAM, AL | Team lift out | Ibd to ibd | 1.3% |
| AXIENT INVESTMENT ADVISORS LLC | 10 | Feb 10, 2026 | Feb 17, 2026 | BIRMINGHAM, AL | Team lift out | Ibd to new firm | 4.1% |
| LPL FINANCIAL LLC | 3 | Jun 24, 2025 | Jun 26, 2025 | COVINGTON, KY | Team lift out | Ibd to ibd | 1.3% |
| ONEASCENT FINANCIAL SERVICES LLC | 3 | Jun 9, 2025 | Jun 6, 2025 | OREFIELD, PA | Team lift out | Ibd to RIA | 1.3% |
| STORMS & ROWDON FINANCIAL SERVICES, INC. | 2 | Mar 26, 2025 | Mar 24, 2025 | BIRMINGHAM, AL | Team lift out | Ibd to new firm | 0.8% |
| LPL FINANCIAL LLC | 2 | Jun 26, 2023 | Jan 1, 2025 | BIRMINGHAM, AL | Team lift out | Ibd to ibd | 0.9% |
| SECURITIES AMERICA ADVISORS, INC. | 2 | Jul 22, 2020 | Jul 21, 2020 | BIRMINGHAM, AL | Team lift out | Ibd to ibd | 0.9% |
| SECURITIES AMERICA ADVISORS, INC. | 3 | Dec 24, 2019 | Jan 2, 2020 | BIRMINGHAM, AL | Team lift out | Ibd to ibd | 1.4% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 3 | Oct 20, 2017 | Nov 2, 2017 | BIRMINGHAM, AL | Team lift out | Other | 1.8% |
| THURSTON SPRINGER FINANCIAL | 3 | Jun 7, 2017 | Jun 5, 2017 | BIRMINGHAM, AL | Team lift out | Other | 1.8% |
| VERUS CAPITAL PARTNERS, LLC | 2 | Jan 19, 2017 | Jan 18, 2017 | BIRMINGHAM, AL | Team lift out | Other | 1.2% |
| OSAIC WEALTH, INC. | 4 | Jan 18, 2017 | Jan 19, 2017 | BIRMINGHAM, AL | Team lift out | Other | 2.4% |
| HAMILTON INVESTMENT COUNSEL, LLC | 2 | Nov 11, 2016 | Oct 17, 2016 | BIRMINGHAM, AL | Team lift out | Other | 1.2% |
| RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC | 2 | Nov 2, 2016 | Oct 24, 2016 | BIRMINGHAM, AL | Team lift out | Other | 1.1% |
| LINCOLN INVESTMENT | 3 | Aug 26, 2016 | Aug 23, 2016 | BIRMINGHAM, AL | Team lift out | Other | 1.7% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 2 | Jul 12, 2016 | Jul 1, 2016 | BIRMINGHAM, AL | Team lift out | Other | 1.1% |
| GENEVA PARTNERS, LLC | 2 | Jul 5, 2016 | Jun 24, 2016 | BIRMINGHAM, AL | Team lift out | Other | 1.1% |
| OSAIC WEALTH, INC. | 2 | Apr 29, 2016 | May 2, 2016 | BIRMINGHAM, AL | Team lift out | Other | 1.7% |
| THURSTON SPRINGER ADVISORS | 2 | Jan 28, 2016 | Nov 24, 2020 | BIRMINGHAM, AL | Team lift out | Other | 1.7% |
| OSAIC WEALTH, INC. | 2 | Jan 20, 2016 | Feb 1, 2016 | BIRMINGHAM, AL | Team lift out | Other | 1.6% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| BOLTON GLOBAL ASSET MANAGEMENT | 2 | Dec 22, 2025 | Nov 17, 2025 | MIAMI, FL | Team lift out | RIA to ibd | 1.4% |
| CONCOURSE FINANCIAL GROUP ADVISORS | 2 | Feb 21, 2025 | Sep 10, 2025 | BIRMINGHAM, AL | Team lift out | Ibd to ibd | 9.5% |
| MML INVESTORS SERVICES, LLC | 2 | Oct 3, 2019 | Oct 1, 2019 | FRANKLIN, TN | Team lift out | Ibd to ibd | 0.1% |
| AMERIPRISE FINANCIAL SERVICES, LLC | 2 | Sep 24, 2019 | Sep 23, 2019 | BIRMINGHAM, AL | Team lift out | Ibd to ibd | 0.0% |
| LPL FINANCIAL LLC | 2 | Sep 21, 2018 | Sep 6, 2018 | MONTGOMERY, AL | Team lift out | RIA to ibd | 0.0% |
| RAYMOND JAMES & ASSOCIATES, INC. | 2 | Aug 8, 2018 | Aug 3, 2018 | GADSDEN, AL | Team lift out | Ibd to ibd | 0.1% |
| STERNE AGEE ASSET MANAGEMENT, INC. | 6 | Jul 5, 2016 | Jul 5, 2016 | BIRMINGHAM, AL | Firm absorbed | Other | 66.7% |
| CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | 4 | Apr 6, 2015 | Mar 31, 2015 | CINCINNATI, OH | Team lift out | Other | 0.3% |
| MSI FINANCIAL SERVICES, INC. | 2 | Mar 16, 2015 | Mar 11, 2015 | NEW YORK, NY | Team lift out | Other | 0.1% |