John E. Rick
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.
John Edward Rick was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 18 firms and has passed the Series 63, SIE and Series 7 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, 2024 - June 18, 2026
STONEX SECURITIES INC.
November 5, 2024 - December 20, 2024
CABOT LODGE SECURITIES LLC
October 22, 2024 - November 8, 2024
STONEX SECURITIES INC.
August 26, 2020 - September 24, 2024
AGES FINANCIAL SERVICES, LTD.
July 29, 2020 - August 27, 2020
CAPITOL SECURITIES MANAGEMENT, INC.
February 16, 2017 - July 30, 2020
AGES FINANCIAL SERVICES, LTD.
September 16, 2013 - February 10, 2017
SOURCE CAPITAL GROUP, INC.
November 24, 2006 - September 16, 2013
CAPITOL SECURITIES MANAGEMENT, INC.
June 17, 2005 - November 29, 2006
THE CONCORD EQUITY GROUP, LLC
November 21, 2002 - July 6, 2005
KIRLIN SECURITIES INC.
September 30, 2002 - November 21, 2002
J.P. TURNER & COMPANY, L.L.C.
October 22, 1998 - September 30, 2002
SCHNEIDER SECURITIES, INC.
September 15, 1998 - October 22, 1998
PAULSON INVESTMENT COMPANY LLC
December 12, 1991 - October 5, 1998
H.J. MEYERS & CO., INC.
August 30, 1990 - November 29, 1991
BRIGHTON SECURITIES CORP.
October 4, 1989 - August 31, 1990
ROYCE PARK INVESTMENTS, INC.
June 27, 1989 - October 20, 1989
ADVANTAGE CAPITAL CORPORATION
November 16, 1987 - May 9, 1989
ANDREW ALEN SECURITIES, INC.
March 3, 1987 - October 29, 1987
DOMESTIC ARBITRAGE GROUP, INC.
May 21, 1985 - January 16, 1987
AMERICAN HERITAGE SECURITIES CORPORATION
October 29, 1984 - May 15, 1985
MICHAEL C. TALLEY & CO., 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.
