Merle M. Tanabe

STONEX SECURITIES

Pearl City, HI 96782

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CRD#: 1294281

Professional summary

Merle Mitsuo Tanabe is a registered financial professional currently at STONEX SECURITIES INC. located in Pearl City, Hawaii.

Merle is registered as a RR (Registered Representative) and started their career in finance in 1992. Merle has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Merle Mitsuo Tanabe's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 29, 2024 - Present

STONEX SECURITIES INC.

Office #1: 98-1256 Kaahumanu St E201, Pearl City, HI 96782

CRD#: 18456

Pearl City, HI

Past

February 22, 2017 - September 24, 2024

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

PEARL CITY, HI

Past

December 1, 2001 - April 24, 2017

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

PEARL CITY, HI

Past

September 6, 1995 - December 1, 2001

MERIT CAPITAL ASSOCIATES, INC.

CRD#: 30576

WESTPORT, CT

Past

May 8, 1992 - September 6, 1995

THE INVESTMENT CENTER, INC.

CRD#: 17839

BEDMINSTER, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(10/29/2024)

Hawaii
(10/29/2024)

Nevada
(10/29/2024)

Washington
(10/29/2024)

Exams

State Security Law Exam

Series 63

Date: 6/27/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 5/2/1992

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

STONEX SECURITIES INC.

CRD#: 18456 / SEC#: , 8-36638

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

2 Perimeter Park South Suite 500 West, Birmingham, AL 35243

Mailing Address

2 Perimeter Park South Suite 500 West, Birmingham, AL 35243

Phone number

(800) 292-2411

Established

Delaware since 01/22/2002

Firm type

Corporation

Fiscal year end

September

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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Merle M. Tanabe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Merle Mitsuo Tanabe's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEX SECURITIES INC.

AGES FINANCIAL SERVICES, LTD.

SOURCE CAPITAL GROUP, INC.

MERIT CAPITAL ASSOCIATES, INC.

THE INVESTMENT CENTER, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/27/1992

SIE

Date: 10/1/2018

Series 6

Date: 5/2/1992

FINRA

Current Firm

STONEX SECURITIES INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STONEX SECURITIES INC.

TRUST BUT VERIFY

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