Alvin T. Perhacs
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alvin Thomas Perhacs was a registered financial professional .
Alvin is a previously registered financial professional and started their career in finance in 1983. Alvin had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2019 - June 14, 2021
STONEX SECURITIES INC.
July 26, 2002 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
June 6, 2001 - July 9, 2002
CETERA INVESTMENT SERVICES LLC
January 17, 1996 - June 6, 2001
COMPULIFE INVESTOR SERVICES, INC.
December 6, 1994 - August 8, 1995
MESIROW FINANCIAL, INC.
November 18, 1994 - December 22, 1994
HOWE BARNES HOEFER & ARNETT, INC.
October 27, 1992 - November 3, 1994
A. WEBSTER DOUGHERTY & CO., INCORPORATED
February 4, 1992 - October 28, 1992
REICH & CO., INC.
December 8, 1989 - February 7, 1992
BAIRD, PATRICK & CO., INC.
July 20, 1983 - December 12, 1989
DEUTSCHE BANK CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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