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2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MA | RA | APPROVED | 2015-01-30 |
Branch Locations
10 Tower Office Park Suite 600, Woburn, MA 01801 • United States
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stonex Securities Inc | Woburn | MA | 01/2015 | Present |
1) Regency Financial Group, LLC. 10 Tower Office Park, Suite 600 Woburn, MA 01801 Nature of Business: Provide Insurance and Fixed Annuity products to clients. Investment Related: No Business Position: Owner/Managing Director Business Duties: I service and offer Insurance products and fixed annuities to clients. Business Start Date: 03/01/2008 Approximately 8-10 hours spent on this OBA monthly, with 8-10 spent during market hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-04-07 |
| S63 | Uniform Securities Agent State Law Examination | 1992-01-08 |
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