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EW

Eric J. Warner

STONEX FINANCIAL
Birmingham, AL 35243
Some features on this profile are disabled
CRD#: 1960546
EW

Professional summary

Eric James Warner, who also goes by Eric Warner, is a registered financial professional currently at STONEX FINANCIAL INC. located in Birmingham, Alabama.

Eric is registered as a RR (Registered Representative) and started their career in finance in 1995. Eric has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Eric Warner

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 Eric James Warner'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

September 28, 2010 - July 3, 2017

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
Birmingham, AL
Past

February 13, 2004 - July 5, 2018

INTL CUSTODY & CLEARING SOLUTIONS INC.

BD
CRD#: 23952
BIRMINGHAM, AL
Past

May 8, 2003 - July 23, 2009

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BIRMINGHAM, AL
Past

April 6, 2002 - May 21, 2003

STONEX SECURITIES INC.

BD
CRD#: 18456
BIRMINGHAM, AL
Past

June 17, 1999 - April 6, 2002

INTL CUSTODY & CLEARING SOLUTIONS INC.

BD
CRD#: 23952
BIRMINGHAM, AL
Past

June 29, 1995 - June 4, 1999

REGIONS INVESTMENT COMPANY, INC.

BD
CRD#: 17618
BIRMINGHAM, AL
Past

March 23, 1995 - May 23, 1995

UNIVERSAL SECURITIES CORPORATION

BD
CRD#: 846
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: 4/10/1995
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: 3/22/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/22/2000
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/14/2000
General Securities Principal 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)
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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

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