Thomas D. Baurle
Professional summary
Thomas Dean Baurle, who also goes by Thomas D Baurle, Tom Baurle, is a registered financial professional currently at STONEX FINANCIAL INC. located in Miami, Florida.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1983. Thomas has worked at 15 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Dean Baurle's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 24, 2025 - Present
STONEX FINANCIAL INC.
Office #1: 333 Se 2nd Ave 21st Floor, Miami, FL 33131May 25, 2021 - August 9, 2024
HILLTOP SECURITIES INC.
May 2, 2017 - June 8, 2021
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
March 20, 2017 - April 18, 2017
COLLIERS SECURITIES LLC
April 8, 2013 - February 23, 2017
PIPER SANDLER & CO.
October 1, 2012 - March 4, 2013
PENSERRA SECURITIES, LLC
January 4, 2010 - June 12, 2012
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
August 30, 2006 - February 3, 2009
OPPENHEIMER & CO. INC.
March 13, 2003 - January 4, 2005
NORTHLAND SECURITIES, INC.
February 1, 2000 - March 10, 2003
PIPER SANDLER & CO.
February 2, 1999 - December 7, 1999
FIRST FUND DISTRIBUTORS, INC.
December 21, 1995 - June 16, 1997
COAST PARTNERS FINANCIAL CORPORATION
March 22, 1995 - December 12, 1995
WATERFORD FINANCIAL, INC.
December 6, 1991 - March 17, 1995
JOHN G. KINNARD AND COMPANY, INCORPORATED
February 6, 1989 - December 10, 1991
PIPER SANDLER & CO.
April 9, 1985 - January 1, 1989
DOUGHERTY DAWKINS LLC
September 22, 1983 - April 19, 1985
DAIN RAUSCHER INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/11/2025)
(3/12/2025)
(1/24/2025)
(1/27/2025)
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(3/13/2025)
(3/13/2025)
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(3/25/2025)
(1/27/2025)
(3/11/2025)
(3/13/2025)
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(1/27/2025)
(2/18/2025)
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(3/11/2025)
(1/25/2025)
(4/7/2025)
(3/12/2025)
(1/27/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
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
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Company Information
STONEX FINANCIAL INC.
CRD#: 45993Miami, FL 33131TRUST BUT VERIFY
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