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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 | 2022-05-10 |
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 |
|---|---|---|---|---|
| Highland Associates, Inc. | Birmingham | AL | 10/2006 | 05/2022 |
| Alps Distributors, Inc. | Denver | CO | 09/2011 | 05/2022 |
| Stonex Securities Inc. | Birmingham | AL | 05/2022 | Present |
| Stonex Advisors Inc. | Birmingham | AL | 05/2022 | Present |
1) Dawson Baptist Churct - 1114 Oxmoor Rd, 35209 Nature of Business: advisory for personal and capital raise Investment Related: No Business Position: Personnel Team; Steering Committee Business Duties: Approve senior personnel moves and budget; advise on capital raise for building project Business Start Date: 01/01/2020 Approximately four hours spent on this OBA monthly with zero during market hours. 2) Baptist Foundation of Alabama - 7650 Halcyon Summit Dr, Montgomery, AL 36117 Nature of Business: IC Member Investment Related: Yes Business Position: investment committee member Business Duties: approve recommendations of staff and the foundation investment advisor Business Start Date: 2013 Less than one hour spent on this OBA monthly, with less than one hour spent during market hours. 3) Vestavia Lacrosse Organization - 1973 MERRYVALE RD 35216 Nature of Business: Local community lacrosse organization. Investment Related: No Business Position: President, Board Member, Volunteer Coach Business Duties: President / Board Member - oversight of lacrosse program for Vestavia Hills from K-12th grade boys and girls. As a coach, coach a single team, only in the spring, of 15-20 middle school players. Business Start Date: 07/01/2023 Approximately 8-10 hours spent on this OBA monthly, with zero during market hours.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2011-10-20 |
| S65 | Uniform Investment Adviser Law Examination | 2001-04-06 |
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