Robert C. Starnes
Professional summary
Robert Charles Starnes was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial advisor and started their career in finance in 1986. Prior to being barred, Robert had worked at 7 firms, which includes STONEX SECURITIES INC., QUEST CAPITAL STRATEGIES INC., BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC., HARBOUR INVESTMENTS INC., SUNAMERICA SECURITIES INC., ANCHOR NATIONAL FINANCIAL SERVICES INC., EQUABLE SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2019 - May 16, 2023
STONEX SECURITIES INC.
June 12, 2014 - December 23, 2019
QUEST CAPITAL STRATEGIES, INC.
January 23, 2008 - December 31, 2013
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
January 23, 2008 - December 31, 2013
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
September 17, 2004 - December 31, 2007
HARBOUR INVESTMENTS, INC.
May 19, 1992 - September 21, 2004
SUNAMERICA SECURITIES, INC.
April 27, 1989 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
March 4, 1986 - May 2, 1989
EQUABLE SECURITIES CORPORATION
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.
