Eksayn A. Anderson
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.
Eksayn Alan Anderson was a registered financial professional .
Eksayn is a previously registered financial professional and started their career in finance in 1985. Eksayn had worked at 14 firms and has passed the Series 63, SIE, Series 6, Series 22 and Series 39 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 4, 2020
STONEX SECURITIES INC.
July 25, 2019 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
August 5, 2014 - November 15, 2018
QUEST CAPITAL STRATEGIES, INC.
May 19, 2014 - August 14, 2014
ONEAMERICA SECURITIES, INC.
July 20, 2011 - October 1, 2013
FORESTERS EQUITY SERVICES, INC.
January 25, 2006 - June 27, 2011
INTERMOUNTAIN FINANCIAL SERVICES, INC.
October 18, 2000 - December 31, 2005
INVESTMENT MANAGEMENT CORPORATION
January 4, 1999 - October 18, 2000
THE O.N. EQUITY SALES COMPANY
January 1, 1998 - April 21, 1999
NEW ENGLAND SECURITIES
January 22, 1997 - December 31, 1997
TOWER SQUARE SECURITIES, INC.
August 15, 1994 - December 30, 1996
ADVANTAGE CAPITAL CORPORATION
April 11, 1994 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
April 29, 1993 - April 5, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 1, 1993 - May 17, 1993
ROBERT W. BAIRD & CO. INCORPORATED
February 1, 1993 - May 17, 1993
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 11, 1992 - January 19, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 4, 1985 - December 2, 1985
FIRST SECURITY INVESTOR SERVICES, INC.
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
