James P. Hentzel
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.
James Paul Hentzel, who also goes by James P Hentzel, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 10 firms and has passed the Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2011 - January 3, 2013
STONEX SECURITIES INC.
December 12, 2009 - November 28, 2011
ONEAMERICA SECURITIES, INC.
January 26, 2009 - May 7, 2009
FORESTERS EQUITY SERVICES, INC.
January 4, 2007 - January 20, 2009
AMERITAS INVESTMENT COMPANY, LLC
August 25, 2005 - January 3, 2007
FORESTERS EQUITY SERVICES, INC.
November 20, 2003 - August 17, 2005
AMERITAS INVESTMENT COMPANY, LLC
February 14, 2002 - October 31, 2003
INTERVEST INTERNATIONAL EQUITIES CORPORATION
October 26, 1999 - February 8, 2002
PMG SECURITIES CORPORATION
March 18, 1996 - May 27, 1998
LEGEND EQUITIES CORPORATION
March 3, 1995 - December 31, 1995
SECURITIES MANAGEMENT & RESEARCH, INC.
March 14, 1991 - March 7, 1995
AEGON USA SECURITIES INC.
April 18, 1985 - December 31, 1990
WOODBURY FINANCIAL 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.
