James A. Posthauer
Professional summary
James Anthony Posthauer, who also goes by James Posthauer, Tony Posthauer, is a registered financial professional currently at STONEX FINANCIAL INC. located in Atlantic Beach, Florida.
James is registered as a RR (Registered Representative) and started their career in finance in 1992. James has worked at 9 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Anthony Posthauer's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 15, 2015 - Present
STONEX FINANCIAL INC.
June 21, 2010 - April 30, 2015
FIRST TRYON SECURITIES, LLC
May 25, 2010 - June 7, 2010
FINACORP SECURITIES
June 27, 2007 - April 5, 2010
TRUIST SECURITIES, INC.
December 1, 2004 - April 27, 2007
MORGAN KEEGAN & COMPANY, LLC
April 1, 2003 - November 22, 2004
SCOTT & STRINGFELLOW, LLC
November 15, 2000 - April 1, 2003
BANC OF AMERICA SECURITIES LLC
September 23, 1992 - November 6, 2000
WACHOVIA SECURITIES, INC.
February 27, 1992 - August 21, 1992
WACHOVIA BROKERAGE SERVICE
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/15/2015)
(3/6/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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 |
Red Flags
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