John E. Rick

STONEX SECURITIES

Rochester, NY 14618

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CRD#: 1308740

Professional summary

John Edward Rick is a registered financial professional currently at STONEX SECURITIES INC. located in Rochester, New York.

John is registered as a RR (Registered Representative) and started their career in finance in 1984. John has worked at 18 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 John Edward Rick'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

December 6, 2024 - Present

STONEX SECURITIES INC.

Office #1: 95 Allens Creek Rd Bldg 1, Ste 264, Rochester, NY 14618

CRD#: 18456

Rochester, NY

Past

November 5, 2024 - December 20, 2024

CABOT LODGE SECURITIES LLC

CRD#: 159712

Canandaigua, NY

Past

October 22, 2024 - November 8, 2024

STONEX SECURITIES INC.

CRD#: 18456

Rochester, NY

Past

August 26, 2020 - September 24, 2024

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

Rochester, NY

Past

July 29, 2020 - August 27, 2020

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

ROCHESTER, NY

Past

February 16, 2017 - July 30, 2020

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

Rochester, NY

Past

September 16, 2013 - February 10, 2017

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

ROCHESTER, NY

Past

November 24, 2006 - September 16, 2013

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

ROCHESTER, NY

Past

June 17, 2005 - November 29, 2006

THE CONCORD EQUITY GROUP, LLC

CRD#: 14569

ROCHESTER, NY

Past

November 21, 2002 - July 6, 2005

KIRLIN SECURITIES INC.

CRD#: 21210

SYOSSET, NY

Past

September 30, 2002 - November 21, 2002

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

October 22, 1998 - September 30, 2002

SCHNEIDER SECURITIES, INC.

CRD#: 16434

DENVER, CO

Past

September 15, 1998 - October 22, 1998

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

PORTLAND, OR

Past

December 12, 1991 - October 5, 1998

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

August 30, 1990 - November 29, 1991

BRIGHTON SECURITIES CORP.

CRD#: 3875

ROCHESTER, NY

Past

October 4, 1989 - August 31, 1990

ROYCE PARK INVESTMENTS, INC.

CRD#: 16539

Past

June 27, 1989 - October 20, 1989

ADVANTAGE CAPITAL CORPORATION

CRD#: 146

ATLANTA, GA

Past

November 16, 1987 - May 9, 1989

ANDREW ALEN SECURITIES, INC.

CRD#: 13839

Past

March 3, 1987 - October 29, 1987

DOMESTIC ARBITRAGE GROUP, INC.

CRD#: 8144

Past

May 21, 1985 - January 16, 1987

AMERICAN HERITAGE SECURITIES CORPORATION

CRD#: 16130

Past

October 29, 1984 - May 15, 1985

MICHAEL C. TALLEY & CO., INC.

CRD#: 8679

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
(12/11/2024)

Florida
(12/6/2024)

Georgia
(12/6/2024)

New York
(12/6/2024)

Pennsylvania
(12/6/2024)

Virginia
(12/6/2024)

Exams

State Security Law Exam

Series 63

Date: 10/26/1984

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: 10/20/1984

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

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.

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Firm Stability Insights

John E. Rick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Edward Rick's CRS (Customer Relationship Summary).

Certified licenses

Experience

CABOT LODGE SECURITIES LLC

STONEX SECURITIES INC.

AGES FINANCIAL SERVICES, LTD.

CAPITOL SECURITIES MANAGEMENT, INC.

AGES FINANCIAL SERVICES, LTD.

SOURCE CAPITAL GROUP, INC.

CAPITOL SECURITIES MANAGEMENT, INC.

THE CONCORD EQUITY GROUP, LLC

KIRLIN SECURITIES INC.

J.P. TURNER & COMPANY, L.L.C.

SCHNEIDER SECURITIES, INC.

PAULSON INVESTMENT COMPANY LLC

H.J. MEYERS & CO., INC.

BRIGHTON SECURITIES CORP.

ROYCE PARK INVESTMENTS, INC.

ADVANTAGE CAPITAL CORPORATION

ANDREW ALEN SECURITIES, INC.

DOMESTIC ARBITRAGE GROUP, INC.

AMERICAN HERITAGE SECURITIES CORPORATION

MICHAEL C. TALLEY & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/26/1984

SIE

Date: 10/1/2018

Series 7

Date: 10/20/1984

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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