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2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2020-01-14 |
| OH | RA | APPROVED | 2015-01-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Sterne Agee Financial Services, Inc. | Austintown | OH | 09/2014 | 06/2017 |
| Sterne Agee Investment Advisor Services, Inc. | Birmingham | AL | 01/2015 | 06/2017 |
| Stonex Securities Inc | Austintown | OH | 06/2017 | Present |
| Stonex Advisors Inc | Austintown | OH | 06/2017 | Present |
1)BAXTER ASSOCIATES, LLC 5 WESTCHESTER DRIVE, SUITE 2 AUSTINTOWN, OH 44515 NATURE OF BUSINESS: TAX PREP TITLE: CPA DUTIES: TAX / ACCOUNTING PREPARAION PERCENTAGE OF TIME SPENT: 40% COMPENSATION: W-2 2)ICE CASTLE SCHOLARSHIP FUN 6601 WESTFORD PLACE, SUITE 100 CANFIELD, OH 44406 CHARITABLE ORGINIZATION NATURE OF BUSINESS: FUNDRAISING FOR YSU TITLE / POSITION: TREASURER DUTIES: COLLECT DUES, WRITE CHECKS PERCENTAGE OF TIME SPENT: 1% NO COMPENSATION: VOLUNTEER 3) Rental Property; Investment related; Surfside Beach, SC; Owner; 01/2024; 1 hr/month during trading hours; property management
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-12-30 |
| S63 | Uniform Securities Agent State Law Examination | 2013-07-29 |
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