James M. Pietkiewicz
Professional summary
James Michael Pietkiewicz, who also goes by Jim Pietkiewicz, is a registered financial professional currently at STONEX FINANCIAL INC. located in Winter Park, Florida.
James is registered as a RR (Registered Representative) and started their career in finance in 1984. James has worked at 6 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Michael Pietkiewicz's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 20, 2013 - Present
STONEX FINANCIAL INC.
Office #1: 329 Park Avenue North Suite 350, Winter Park, FL 32789Office #2: 329 Park Avenue North Suite 350, Winter Park, FL 32789January 9, 1999 - October 11, 2013
GARDNYR MICHAEL CAPITAL, INC.
April 3, 1991 - July 28, 1992
SUMMIT CAPITAL MARKETS, INC.
June 16, 1988 - April 23, 1991
SOUTHEASTERN CAPITAL GROUP, INC.
March 17, 1988 - June 18, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 1984 - January 29, 1988
MORGAN STANLEY DW 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
(7/30/2019)
(2/17/2014)
(10/1/2019)
(5/18/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
Red Flags
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