Robert D. Redfield
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.
Robert Douglas Redfield was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2021 - August 18, 2022
STONEX FINANCIAL INC.
July 29, 2013 - April 19, 2021
HSBC SECURITIES (USA) INC.
February 24, 2010 - March 7, 2013
MACQUARIE CAPITAL (USA) INC.
June 13, 2007 - November 13, 2009
THOMAS WEISEL PARTNERS LLC
May 8, 2007 - May 30, 2007
THOMAS WEISEL PARTNERS LLC
June 29, 2005 - June 29, 2007
J.P. MORGAN SECURITIES LLC
April 18, 2002 - January 31, 2005
CREDIT SUISSE SECURITIES (USA) LLC
August 22, 1994 - April 8, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 23, 1989 - August 10, 1994
UBS FINANCIAL SERVICES INC.
December 17, 1985 - April 14, 1989
KIDDER, PEABODY & CO. INCORPORATED
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/4/2007
Limited Representative-Equity Trader ExamCurrent 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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