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2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2025-01-16 |
Branch Locations
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2019-05-28 |
Branch Locations
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Unemployed | Birmingham | AL | 09/2016 | 02/2017 |
| Guardian Life Insurance Co Of America | New York | NY | 03/2017 | 10/2017 |
| Park Avenue Securities, Llc | New York | NY | 03/2017 | 10/2017 |
| The Prudential Insurance Company Of America | Birmingham | AL | 10/2017 | 04/2019 |
| Pruco Securities, Llc | Birmingham | AL | 10/2017 | 04/2019 |
| Stonex Securities Inc. | Birmingham | AL | 05/2019 | Present |
| Stonex Advisors Inc. | Birmingham | AL | 05/2019 | Present |
| Stonex Financial Inc. | Birmingham | AL | 01/2026 | Present |
1) Gadsden Arts Center and Museum 13 N. Madison St. Quincy, FL 32351 Nature of Business: The Gadsden Arts Center & Museum's mission is to foster understanding and appreciation of the visual arts to improve the quality of life in Gadsden County and the region. The organization works to enhance arts education, provide culture opportunities, and stimulate economic growth in the community. Investment Related: Non-Investment Related Title: General Board Member Duties: General Board Member, help in decisions about upcoming events and programming. Start Date: 01/02/2015 Approximate Hours Devoted to Business: 1 Approximate Hours Devoted to Business during Market Hours: 1 2) Florida Historic Capital Board Nature of Business: The Florida Historic Capitol Museum serves to illuminate the past, present, and future connections between the people of Florida and their political institutions through programs of civic education, historic interpretation, and preservation. Investment Related:Non-Investment Related Title: General Board Member Duties: General board member. Help assist in connecting the community and the leadership with the state of Florida Capital. Start Date: 06/01/2018 Approximate Hours Devoted to Business: 2 Approximate Hours Devoted to Business during Market Hours: 2 3) Oxford College of Emory University Board of Counselors 801 Emory St. Oxford, GA 30054 Nature of Business: learn and understand and help guide Oxford College as it continues to grow. Investment Related: Non-Investment Related Title: General Board Member Duties: General Board Member Start Date: 06/01/2010 Approximate Hours Devoted to Business: 1 Approximate Hours Devoted to Business during Market Hours: 1 4) Challen-Woodward LLC - 1007 Eagle Hill Drive, Birmingham, AL 35242 Nature of Business: Its an owned building and apartment Investment Related: No Business Position: 100% owner Business Duties: just managed to building, utilities, etc Business Start Date: 04/24/2023 Approximately one hour spent on this OBA monthly, with zero during market hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-10-10 |
| S63 | Uniform Securities Agent State Law Examination | 1996-07-15 |
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