DS
Douglas J. Scales
STONEX FINANCIAL
Warren, NJ 07059
Some features on this profile are disabled
CRD#: 1189946
DS
Professional summary
Douglas J Scales, who also goes by Douglas James Scales, is a registered financial professional currently at STONEX FINANCIAL INC. located in Warren, New Jersey.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1983. Douglas has worked at 10 firms and has passed the Series 63, SIE, Series 5, Series 7, Series 4, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Douglas James Scales
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Douglas J Scales's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 15, 2021 - Present
STONEX FINANCIAL INC.
Office #1: 30 Independence Blvd. Suite 300, Warren, NJ 07059BD
CRD#: 45993
Warren, NJ
Past
December 21, 2015 - June 14, 2021
FHN FINANCIAL SECURITIES CORP.
BD
CRD#: 46346
Red Bank, NJ
Past
July 19, 2012 - January 7, 2016
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
NEW YORK, NY
Past
June 10, 2008 - August 14, 2012
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
Past
October 31, 2000 - June 18, 2008
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
January 26, 1995 - November 14, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 9, 1990 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
October 18, 1989 - April 4, 1990
WHITEHILL CAPITAL, INC.
BD
CRD#: 16557
Past
April 12, 1988 - August 8, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
NEW YORK, NY
Past
September 21, 1983 - March 26, 1988
MORGAN STANLEY DW INC.
BD
CRD#: 7556
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/3/2024)
RR
Alaska(1/3/2024)
RR
Arizona(1/3/2024)
RR
Arkansas(1/3/2024)
RR
California(1/3/2024)
RR
Colorado(1/3/2024)
RR
Connecticut(1/3/2024)
RR
Delaware(1/3/2024)
RR
District of Columbia(1/3/2024)
RR
Florida(1/4/2022)
RR
Georgia(1/3/2024)
RR
Hawaii(1/3/2024)
RR
Idaho(1/3/2024)
RR
Illinois(1/3/2024)
RR
Indiana(1/3/2024)
RR
Iowa(1/3/2024)
RR
Kansas(1/3/2024)
RR
Kentucky(1/3/2024)
RR
Louisiana(1/3/2024)
RR
Maine(1/3/2024)
RR
Maryland(1/3/2024)
RR
Massachusetts(6/15/2021)
RR
Michigan(1/3/2024)
RR
Minnesota(1/3/2024)
RR
Mississippi(1/3/2024)
RR
Missouri(1/3/2024)
RR
Montana(1/3/2024)
RR
Nebraska(1/3/2024)
RR
Nevada(1/3/2024)
RR
New Hampshire(1/3/2024)
RR
New Jersey(6/15/2021)
RR
New Mexico(1/3/2024)
RR
New York(6/15/2021)
RR
North Carolina(1/3/2024)
RR
North Dakota(1/3/2024)
RR
Ohio(1/3/2024)
RR
Oklahoma(1/3/2024)
RR
Oregon(1/3/2024)
RR
Pennsylvania(1/3/2024)
RR
Puerto Rico(1/3/2024)
RR
Rhode Island(1/3/2024)
RR
South Carolina(1/3/2024)
RR
South Dakota(1/3/2024)
RR
Tennessee(1/3/2024)
RR
Texas(6/15/2021)
RR
Utah(1/3/2024)
RR
Vermont(1/3/2024)
RR
Virgin Islands(1/3/2024)
RR
Virginia(1/3/2024)
RR
Washington(1/3/2024)
RR
West Virginia(1/3/2024)
RR
Wisconsin(1/3/2024)
RR
Wyoming(1/3/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 3/1/1984
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SF
STONEX FINANCIAL INC.
INTERNATIONAL TRADER ASSOCIATION, INC. | STONEX FINANCIAL INC. | STONEX | INTLTRADER.COM, INC. | INTL TRADING, INC. | INTL FCSTONE SECURITIES INC. | INTL FCSTONE FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Mailing Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Phone number
(407) 741-5300
Established
Florida since 05/29/1998
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
