Gary D. Esterman
Professional summary
Gary David Esterman, who also goes by Gary Esterman, is a registered financial professional currently at STONEX FINANCIAL INC. located in Boca Raton, Florida.
Gary is registered as a RR (Registered Representative) and started their career in finance in 1993. Gary has worked at 10 firms and has passed the Series 65, Series 63, Series 79TO, Series 52TO, Series 57TO, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 30, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gary David Esterman's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 13, 2013 - Present
STONEX FINANCIAL INC.
Office #1: 2600 North Military Trail Suite 100, Boca Raton, FL 33431June 21, 2018 - February 11, 2019
STONEX SECURITIES INC.
July 7, 2016 - July 11, 2017
STERNE, AGEE & LEACH, INC.
July 7, 2016 - July 5, 2018
INTL CUSTODY & CLEARING SOLUTIONS INC.
January 18, 2007 - May 30, 2014
FIRST AMERICAN CAPITAL AND TRADING CORPORATION
December 13, 2005 - January 22, 2007
BROOKSTREET SECURITIES CORPORATION
October 16, 2000 - October 6, 2005
AVALON RESEARCH GROUP, INC.
November 18, 1999 - October 11, 2000
STERLING FINANCIAL INVESTMENT GROUP, INC.
June 19, 1996 - December 8, 1999
FIRST SECURITY INVESTMENTS, INC.
November 1, 1993 - June 20, 1996
ROYAL PALM INVESTMENTS, LTD.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/20/2022)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 8/2/2000
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/CEO SECURITIES | 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 | 76 |
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#: 45993Boca Raton, FL 33431TRUST BUT VERIFY
Monitor Gary Esterman
Get automatic monthly alerts on:
