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2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2016-06-30 |
Branch Locations
9520 Ormsby Station Road, Louisville, KY 40223 • United States
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 |
|---|---|---|---|---|
| Stonex Securities Inc | Louisville | KY | 04/2003 | Present |
| Stonex Advisors Inc | Louisville | KY | 06/2016 | Present |
1) WAINWRIGHT LAVENTIS;YES INVESTMENT RELATED; 9520 ORMSBY STATION RD, SUITE 10 LOUISVILLE KY 40223; INVESTMENTS; MANAGING PARTNER; 3/1/13; 160 HOURS PER MONTH; ALL DURING SECURITY TRADING HOURS; INVESTMENT ADVISOR, ADVISING CLIENTS ON THEIR INVESTMENTS. 2) JOAN R LAVENTIS TRUST 78163 PAINTED SUNSET DR, LAS VEGAS, NV 89149 NATURE OF BUSINESS: I AM THE SUCCESSOR TRUSTEE ON MY MOTHER'S TRUST. IN THE EVENT THAT SHE BECOMES INCAPCITATED OR DIES I BECOME TRUSTEE. INVESTMENT RELATED?: YES BUSINESS POSITION, TITLE OR ASSOCIATION: SON BUSINESS DUTIES: MANAGEMENT OF THE TRUST UPON THE DEATH OR INCAPCITY OF MY MOTHER. BUSINESS START DATE: 11/12/2020 APPROXIMATELY ZERO HOURS SPENT MONTHLY OR DURING MARKET HOURS ON THIS OBA.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-02-09 |
| S63 | Uniform Securities Agent State Law Examination | 1994-07-21 |
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