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Advisor at STONEX ADVISORS INC.
BIRMINGHAM, AL
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 | Dec 6, 2019 | n/a | yes | BIRMINGHAM, AL | Current employment |
| QUEST CAPITAL STRATEGIES, INC. | Former SEC adviser | Aug 12, 2013 | Dec 6, 2019 | no | SAN RAFAEL, CA|LAGUNA HILLS, CA|LAGUNA HILLS, CA | Previous registration |
| VALIC FINANCIAL ADVISORS, INC. | Bd affiliated wealth | Jul 26, 2011 | Apr 18, 2013 | no | OAKLAND, CA | Previous registration |
| J.P. MORGAN SECURITIES LLC | Wirehouse | Sep 30, 1997 | Nov 12, 2007 | no | SAN FRANCISCO, CA|SAN FRANCISCO, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| QUEST CAPITAL STRATEGIES, INC. | STONEX ADVISORS INC. | Dec 6, 2019 | Dec 6, 2019 | 0 | Bulk transfer | RIA to ibd |
| VALIC FINANCIAL ADVISORS, INC. | QUEST CAPITAL STRATEGIES, INC. | Apr 18, 2013 | Aug 12, 2013 | 116 | Firm change | Other |
| J.P. MORGAN SECURITIES LLC | VALIC FINANCIAL ADVISORS, INC. | Nov 12, 2007 | Jul 26, 2011 | 1,352 | Firm change after gap | Other |