AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SB

Stephen H. Boohaker

STONEX FINANCIAL
Birmingham, AL 35243
Some features on this profile are disabled
CRD#: 1778209
SB

Professional summary

Stephen Hikel Boohaker, who also goes by Stephen H Boohaker, is a registered financial professional currently at STONEX FINANCIAL INC. located in Birmingham, Alabama.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1988. Stephen has worked at 3 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen H Boohaker

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Hikel Boohaker's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 3, 2017 - Present

STONEX FINANCIAL INC.

Office #1: 2 Perimeter Park South Suite 100w, Birmingham, AL 35243
BD
CRD#: 45993
Birmingham, AL
Past

October 5, 2016 - July 3, 2017

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
Birmingham, AL
Past

April 8, 2003 - February 25, 2016

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BIRMINGHAM, AL
Past

July 20, 1988 - April 27, 2001

REGIONS INVESTMENT COMPANY, INC.

BD
CRD#: 17618
BIRMINGHAM, AL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(7/3/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 4/25/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/1988
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SF
STONEX FINANCIAL INC.
INTERNATIONAL TRADER ASSOCIATION, INC. | STONEX FINANCIAL INC. | STONEX | INTLTRADER.COM, INC. | INTL TRADING, INC. | INTL FCSTONE SECURITIES INC. | INTL FCSTONE FINANCIAL INC.

CRD#: 45993 / SEC#: , 8-51269

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Mailing Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Phone number
(407) 741-5300
Established
Florida since 05/29/1998
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STONEX GROUP INC.OWNER
BOLTE, DAVID ALBERTSECRETARY2711410
DAVISON, STUART ANDREWDIRECTOR; CHIEF OPERATING OFFICER7824576
DICIOLLO, ANTHONY JOSEPHPRESIDENT/DIRECTOR4976402
DUNAWAY, WILLIAM JOHNDIRECTOR, CHIEF FINANCIAL OFFICER6505923
LYON, CHARLES MARTINDIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER4000852
MAURER, MARK LDIRECTOR, CHIEF RISK OFFICER4234406
PORZIO, JOSEPH JOHNFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER1319702
SMITH, PHILIP ANDREWDIRECTOR4999097
SZEKELY, GIGI KLARACHIEF COMPLIANCE OFFICER - BD DIVISION2530826

Disclosures

Regulatory Event75

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.

Company Information

STONEX FINANCIAL INC.

CRD#: 45993Birmingham, AL 35243

TRUST BUT VERIFY

Monitor Stephen Boohaker

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Martin Garrett Wheeler
Martin WheelerAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Birmingham, AL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.