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Advisor at STONEX ADVISORS INC.
CORNELIUS, NC | 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 | Jun 30, 2016 | n/a | yes | BIRMINGHAM, AL|CORNELIUS, NC | Current employment |
| STERNE AGEE ASSET MANAGEMENT, INC. | Former SEC adviser | Jun 18, 2012 | Jun 30, 2016 | no | CORNELIUS, NC | Previous registration |
| SYNERGY INVESTMENT GROUP, LLC | Former SEC adviser | Mar 11, 2010 | Mar 1, 2012 | no | CORNELIUS, NC|CHARLOTTE, NC | Previous registration |
| FIFTH THIRD SECURITIES, INC. | Bd affiliated wealth | Jun 16, 2008 | Mar 10, 2010 | no | HUNTERSVILLE, NC|DAVIDSON, NC|NAPLES, FL|DAVIDSON, NC|CORNELIUS, NC|DENVER, NC|DENVER, NC|DAVIDSON, NC | Previous registration |
| UVEST FINANCIAL SERVICES GROUP, INC. | n/a | Jul 9, 2004 | Jun 16, 2008 | no | FALLS CHURCH, VA|BALTIMORE, MD|CORNELIUS, NC|CHARLOTTE, NC|CORNELIUS, NC | Previous registration |
| RAYMOND JAMES FINANCIAL SERVICES, INC. | n/a | Feb 25, 2003 | May 12, 2004 | no | FAIRFAX, VA | Previous registration |
| HOWARD WEIL INCORPORATED | n/a | May 8, 2002 | Feb 20, 2003 | no | MCLEAN, VA | 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 |
| SYNERGY INVESTMENT GROUP, LLC | STERNE AGEE ASSET MANAGEMENT, INC. | Mar 1, 2012 | Jun 18, 2012 | 109 | Firm change | Other |
| FIFTH THIRD SECURITIES, INC. | SYNERGY INVESTMENT GROUP, LLC | Mar 10, 2010 | Mar 11, 2010 | 1 | Firm change | Other |
| UVEST FINANCIAL SERVICES GROUP, INC. | FIFTH THIRD SECURITIES, INC. | Jun 16, 2008 | Jun 16, 2008 | 0 | Firm change | Other |
| RAYMOND JAMES FINANCIAL SERVICES, INC. | UVEST FINANCIAL SERVICES GROUP, INC. | May 12, 2004 | Jul 9, 2004 | 58 | Firm change | Other |
| HOWARD WEIL INCORPORATED | RAYMOND JAMES FINANCIAL SERVICES, INC. | Feb 20, 2003 | Feb 25, 2003 | 5 | Firm change | Other |