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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 Suite 10, Louisville, KY 40223 • United States
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States
1 disclosure category 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. | Louisville | KY | 04/2003 | Present |
| Stonex Advisors Inc. | Louisville | KY | 06/2016 | Present |
1).WAINWRIGHT LAVENTIS, LLC. YES, INVESTMENT RELATED; 9520 ORMSBY STATION SUITE 10 LOUISVILLE, KY. 40233; INDEPENDENT ADVISOR; PARTNER; 3/1/13; 160 HOURS PER MONTH; ALL DURING SECURITY TRADING HOURS; WORKING IN AN ADVISOR CAPICITY, OFFERING FINANCIAL ADVISE. 2) Vaccinogen - 5300 Westview Dr # 406, Frederick, MD 21703 Nature of Business: Advisory Board, Investment Related: No Business Position: Friend & former investor Business Duties: Offer opinions on selections of direction for cancer research Business Start Date: 04/28/2023 Approximately two hours spent on this OBA monthly, with zero during market hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-02-27 |
| S63 | Uniform Securities Agent State Law Examination | 1984-06-28 |
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