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2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2019-12-06 |
Branch Locations
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Quest Capital Strategies, Inc | Lake Forest | CA | 05/2001 | 12/2019 |
| Stonex Securities Inc | Claremont | CA | 12/2019 | Present |
| Stonex Advisors Inc | Claremont | CA | 12/2019 | Present |
THOMAS NEWBAUER FAMILY NUMBER THREE LIMITED PARTNERSHIP NATURE OF BUSINESS: BROKERAGE ACCOUNT INVESTMENT RELATED: YES BUSINESS POSITION: TRUSTEE BUSINESS DUTIES: MONITORE THE SALE AND PURCHASE OF EQUITIES BUSINESS START DATE: 11/15/2019 APPROXIMATELY 30 HOURS SPENT ON THIS OBA MONTHLY WITH 1 HOUR SPENT ON THIS OBA MONTHLY DURING MARKET HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-03-31 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-19 |
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