Steven H. Carolus
Professional summary
Steven Howard Carolus, who also goes by Steven H Carolus, is a registered financial professional currently at STONEX FINANCIAL INC. located in Winter Park, Florida.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1988. Steven has worked at 7 firms and has passed the Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Howard Carolus's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 15, 2014 - 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 32789July 25, 2012 - August 28, 2014
CITADEL SECURITIES LLC
November 20, 2002 - July 13, 2012
G1 EXECUTION SERVICES, LLC
December 21, 2000 - November 27, 2002
GMST WORLD MARKETS, INC.
January 12, 1999 - December 20, 2000
INTERNATIONAL ASSETS ADVISORY, LLC
November 30, 1990 - October 8, 1998
CHATFIELD DEAN & CO., INC.
October 19, 1988 - December 3, 1990
THE STUART-JAMES COMPANY, 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
(1/12/2015)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/4/1999
Limited Representative-Equity Trader ExamFINRA
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 |
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