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2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2021-10-27 |
Branch Locations
7230 Arbuckle Commons Suite 108, Bronwsburg, IN 46112 • United States
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States
Brownsburg, IN • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stonex Securities Inc | Avon | IN | 09/2014 | Present |
| Stonex Advisors Inc | Avon | IN | 10/2021 | Present |
1)RSNetworking 2140 Hanover Rd. Brownsburg, IN 46112 Nature of Business: IT Consulting Investment Related: No Business Position: IT Consultant Business Duties: network/server/firewall/desktop support Business Start Date: 01/01/2004 Approximately 15 hours spent on this OBA monthly, with 6 hours spent during market hours 2) Ohlson Group- 11611 N Meridian St Suite 110, Carmel, IN 46032 Nature of Business: Term Life Insurance Investment Related: No Business Position: Insurance Agent Business Duties: Term Policies Business Start Date: 05/01/2016 Approximately one hour spent on this OBA with one during market hours. 3)United American - 3700 S Stonebridge Dr, McKinney, TX 75070 Nature of Business: Medicare Supplements Investment Related: No Business Position: Agent Business Duties: independent agent - occasional medicare supplement Business Start Date: 08/01/2015 Approximately one hour spent on this OBA monthly, with one during market hours. 4) Gordon Marketing 20236 Hague Rd. Noblesville, IN 46062 Nature of Business: Occasional Medicare Supplement/Prescription Drugs Plans Investment Related: Non-Investment Related Title: Independent Agent Start Date: 10/10/2020 Duties: Selling Medicare Supplement and Prescription Drug Plans Hours Devoted to Business: <5 Hours Devoted to Business during Market Hours: <5 5) Business Name: Capital Planning Associates Inc. 5845 Glen Eagles Ct. Avon, IN 46123 Nature of Business: DBA Investment Related: Yes Business Position: Investment Professional Business Duties: securities business, occasional life insurance policy, occasional medicare supplement policy Business Start Date: 11/01/2003 Approximately 160+ hours spent on this OBA monthly, with 120+ hours spent during market hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-10-26 |
| S63 | Uniform Securities Agent State Law Examination | 2006-11-10 |
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