STONEX ADVISORS INC. of BIRMINGHAM, AL is an SEC-registered investment adviser (CRD 174182). Regulatory assets under management: $5.1B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Other.
Showing 25 of 28 people.
| Name | Role | Location |
|---|---|---|
| Carter Don Wilson | CHIEF EXECUTIVE OFFICER | Phoenix, AZ |
| Jay Wilson Carter | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, DIRECTOR | — |
| Joseph John Porzio | CHIEF FINANCIAL OFFICER | — |
| Marcus Bryant Richardson | CHIEF OPERATIONS OFFICER; CHIEF OPERATIONS OFFICER / CHIEF EXECUTIVE OFFICER | — |
| William John Dunaway | DIRECTOR | — |
| Charles Martin Lyon | DIRECTOR | — |
| John Francis Calvano | CHIEF COMPLIANCE OFFICER | — |
| Mark L Maurer | DIRECTOR | — |
| Andrew R Chambless | GENERAL COUNSEL | — |
| Stuart Andrew Davison | DIRECTOR | — |
| Philip Andrew Smith | DIRECTOR | — |
| James Buchanan Mcauslan | DIRECTOR | — |
| PINTARIC WILLIAM RICHARD | CHIEF COMPLIANCE OFFICER | — |
| WAGSTAFF CONNER FRED | CHIEF FINANCIAL OFFICER | — |
| RUCH WALTER ALLWEIN | CHIEF EXECUTIVE OFFICER | — |
| O'CONNOR SEAN MICHAEL | DIRECTOR | — |
| NGUYEN THOMAS THO | DIRECTOR | — |
| CALVANO JOHN FRANCIS | CHIEF COMPLIANCE OFFICER | — |
| RICHARDSON MARCUS BRYANT | CHIEF OPERATIONS OFFICER | — |
| DUNAWAY WILLIAM JOHN | DIRECTOR | — |
| HARROD PATRICIA MARIE | DIRECTOR | — |
| LYON CHARLES MARTIN | DIRECTOR | — |
| SEPHTON BRIAN TRIGGER | DIRECTOR | — |
| MAURER MARK L | DIRECTOR | — |
| PORZIO JOSEPH JOHN | CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-02-09 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION (SEC) HAS ENTERED AN ORDER (THE "ORDER") AGAINST SA STONE INVESTMENT ADVISORS INC. IN THE SEC'S SHARE CLASS SELECTION DISCLOSURE INITIATIVE, IN WHICH SA STONE INVESTMENT ADVISORS VOLUNTARILY PARTICIPATED. IN THE ORDER, THE SEC FOUND THAT AT TIMES DURING THE PER… | Final | — |