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Current Employers
Trust Advisory Group Ltd

2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2025-01-16
  • AL RA
    APPROVED
    Since 2025-01-16

Branch Locations

2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States

Stonex Advisors Inc.

2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2022-05-10
  • AL RA
    APPROVED
    Since 2022-05-10

Branch Locations

2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 10/2006 → 05/2022
    Birmingham, AL
  • 09/2011 → 05/2022
    Alps Distributors, Inc.
    Denver, CO
  • 05/2022 → Present
    Stonex Securities Inc.
    Birmingham, AL
  • 05/2022 → Present
    Birmingham, AL
Previous Registrations
  • 2006-10-20 → 2022-05-10
    Birmingham, AL
  • 2003-10-20 → 2006-09-22
    Amsouth Asset Management, Inc.
    Birmingham, AL
  • 2001-06-01 → 2003-10-20
    Amsouth Investment Management Company Llc
    Birmingham, AL
Other Businesses

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.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2011-10-20
S65 Uniform Investment Adviser Law Examination 2001-04-06
  • S63 Uniform Securities Agent State Law Examination
    2011-10-20
  • S65 Uniform Investment Adviser Law Examination
    2001-04-06
Designations

View on SEC IAPD

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