Mark D. Williams

STONEX SECURITIES

TROY, MI

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CRD#: 1295712

Professional summary

Mark David Williams is a registered financial professional currently at STONEX SECURITIES INC. located in Troy, Michigan.

Mark is registered as a RR (Registered Representative) and started their career in finance in 1984. Mark has worked at 5 firms and has passed the Series 63, SIE and Series 7 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 Mark David Williams'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

February 2, 2009 - Present

STONEX SECURITIES INC.

CRD#: 18456

TROY, MI

Past

July 1, 2003 - February 25, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BIRMINGHAM, MI

Past

November 15, 1996 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 14, 1990 - November 29, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 22, 1984 - February 23, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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
(2/5/2015)

Colorado
(9/24/2014)

Florida
(4/20/2009)

Michigan
(2/2/2009)

Ohio
(2/2/2009)

Exams

State Security Law Exam

Series 63

Date: 8/28/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1984

General Securities 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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Check for any disclosures as part of your thorough research when choosing an advisor.

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Mark D. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mark David Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEX SECURITIES INC.

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/28/1984

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1984

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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