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Current Employers
Stonex Advisors Inc.

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

Current Registrations

AuthorityCategoryStatusDate
AL RA APPROVED 2019-09-23
  • AL RA
    APPROVED
    Since 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

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
Ameriprise Financial Services Inc Birmingham AL 09/2015 09/2019
Stonex Securities Inc Birmingham AL 09/2019 Present
Stonex Advisors Inc Birmingham AL 09/2019 Present
  • 09/2015 → 09/2019
    Ameriprise Financial Services Inc
    Birmingham, AL
  • 09/2019 → Present
    Stonex Securities Inc
    Birmingham, AL
  • 09/2019 → Present
    Birmingham, AL
Previous Registrations
Other Businesses

1)RW Management LLC 2120 16th Avenue South Suite 100 Birmingham, AL 35205 Nature of Business: Investment Services Investment Related: Yes Start Date: 09/20/2019 Title: Registered Sales Assistant Duties: Assistant to advisor with client operations Hours Devoted to Business: 160 Hours Devoted to Business during Market Hours: 6.5 2) DBA Roberts Wealth Management 2120 16th Avenue South Suite 100 Birmingham, AL 35205 Nature of Business: Investment Services Investment Related: Yes Start Date: 09/20/2019 Title: Registered Sales Assistant Duties: Assistant to advisor with client operations Hours Devoted to Business: 160 Hours Devoted to Business during Market Hours: 6.5

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-04-28
S63 Uniform Securities Agent State Law Examination 1990-09-27
  • S66 Uniform Combined State Law Examination
    2012-04-28
  • S63 Uniform Securities Agent State Law Examination
    1990-09-27
Other Names
  • Deborah Lopez Sitz
  • Debbie Sitz
  • Deborah Lopez Harris
  • Deborah Diane Lopez
  • Deborah D Lopez
  • Deborah Dianne Lopez
  • Deborah Dianne Lopez

View on SEC IAPD

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