James Brian Gauld

Current Employers

Employment History

• 08/1998 → 09/2022
  Valic Investment Services Company
  Jackson, MS
• 12/2022 → Present
  Stonex Securities Inc
  Birmingham, AL
• 12/2022 → Present
  Stonex Advisors Inc
  Birmingham, AL

Previous Registrations

• 2001-06-07 → 2022-10-14
  Valic Financial Advisors, Inc.
  Atlanta, GA
  Birmingham, AL
  Montgomery, AL
  Daphne, AL
  Mobile, AL
  Mobile, AL
  Montgomery, AL
  Birmingham, AL
  Daphne, AL
  Atlanta, GA
  Houston, TX
  Atlanta, GA

Other Businesses

1) Stone Financial Group, LLC - 1 Perimeter Park South; Suite 400; Birmingham, AL 35243 Nature of Business: Stone Financial Group, LLC is a DBA for branding and marketing purposes only Investment Related: Yes Business Position: Sr. VP of Investments, Financial Advisor Business Duties: I perform the duties of an Independent Advisor through StoneX. The name Stone Financial Group is only for branding. Business Start Date: 3/11/2024 150 hours spent on this OBA monthly; with 150 spent during market hours. 2) Blue Cross Blue Shield of Texas - 1001 East Lookout Drive, Richardson, TX 75082 Nature of Business: Group Health Insurance plan Investment Related: Yes Business Position: Agent of record Business Duties: I bought this Group Health Insurance plan effective 1/1/25 from another StoneX advisor who retired 12/31/24. The plan is already established and I will only perform maintenance moving forward. Business Start Date: 01/02/2025 One hour spent on this OBA monthly, with zero during market hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-12-09
• S63 Uniform Securities Agent State Law Examination
  1998-06-01