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Advisor at STONEX ADVISORS INC.
BIRMINGHAM, AL | Germantown, TN
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| STONEX ADVISORS INC. | Bd affiliated wealth | Jun 30, 2016 | n/a | yes | Germantown, TN|BIRMINGHAM, AL | Current employment |
| STERNE AGEE ASSET MANAGEMENT, INC. | Former SEC adviser | Aug 17, 2012 | Jun 30, 2016 | no | GERMANTOWN, TN | Previous registration |
| BROKERSXPRESS LLC | Former SEC adviser | Jan 4, 2010 | Aug 8, 2012 | no | CHICAGO, IL|GERMANTOWN, TN|EL PASO, TX | Previous registration |
| HOWE BARNES CAPITAL MANAGEMENT, INC. | n/a | Jun 18, 2008 | Jan 12, 2010 | no | CHICAGO, IL | Previous registration |
| MORGAN STANLEY & CO. LLC | n/a | Apr 2, 2007 | Jun 17, 2008 | no | MEMPHIS, TN | Previous registration |
| MORGAN STANLEY DW INC. | n/a | Dec 10, 2002 | Apr 2, 2007 | no | MEMPHIS, TN|MEMPHIS, TN | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| STERNE AGEE ASSET MANAGEMENT, INC. | STONEX ADVISORS INC. | Jun 30, 2016 | Jun 30, 2016 | 0 | Bulk transfer | Other |
| BROKERSXPRESS LLC | STERNE AGEE ASSET MANAGEMENT, INC. | Aug 8, 2012 | Aug 17, 2012 | 9 | Firm change | Other |
| HOWE BARNES CAPITAL MANAGEMENT, INC. | BROKERSXPRESS LLC | Jan 12, 2010 | Jan 4, 2010 | -8 | Firm change | Other |
| MORGAN STANLEY & CO. LLC | HOWE BARNES CAPITAL MANAGEMENT, INC. | Jun 17, 2008 | Jun 18, 2008 | 1 | Firm change | Other |
| MORGAN STANLEY DW INC. | MORGAN STANLEY & CO. LLC | Apr 2, 2007 | Apr 2, 2007 | 0 | Bulk transfer | Other |