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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 | 2019-09-23 |
Branch Locations
2120 16Th Ave South Suite 100, Birmingham, AL 35205 • United States
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 |
|---|---|---|---|---|
| Ameriprise Financial Services, Inc. | Birmingham | AL | 08/2014 | 09/2019 |
| Stonex Securities Inc. | Birmingham | AL | 09/2019 | Present |
| Stonex Advisors Inc. | Birmingham | AL | 09/2019 | Present |
1)RW Management LLC 2120 16th Avenue South Suite 100 Birmingham, AL 35205 Nature of Business: Investment services Investment Related: Yes Title: Owner Start Date: 09/20/2019 Duties: Investment management and advice Hours Devoted to Business: 200 Hours Devoted to Business during Market Hours: 160 2) DBA Roberts Wealth Management 2120 16th Avenue South Suite 100 Birmingham, AL 35205 Nature of Business: Investment services Investment Related: Yes Title: Owner Start Date: 09/20/2019 Duties: Investment management and advice Hours Devoted to Business: 200 Hours Devoted to Business during Market Hours: 160
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-04-18 |
| S63 | Uniform Securities Agent State Law Examination | 1997-07-11 |
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