Eric James Warner
Professional Summary
Eric James Warner, who also goes by Eric Warner, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Eric Warner
Similar Advisors
STIRLINGSHIRE INVESTMENTS
EQUITABLE ADVISORS, LLC
GOLDMAN SACHS & CO. LLC
CSENGE ADVISORY GROUP, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
STIRLINGSHIRE INVESTMENTS
EQUITABLE ADVISORS, LLC
GOLDMAN SACHS & CO. LLC
CSENGE ADVISORY GROUP, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
STIRLINGSHIRE INVESTMENTS
EQUITABLE ADVISORS, LLC
GOLDMAN SACHS & CO. LLC
CSENGE ADVISORY GROUP, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
STIRLINGSHIRE INVESTMENTS
EQUITABLE ADVISORS, LLC
GOLDMAN SACHS & CO. LLC
CSENGE ADVISORY GROUP, LLC
Years of Experience
31 years in the financial services industry
Current & Past Employments
Similar Advisors
STIRLINGSHIRE INVESTMENTS
EQUITABLE ADVISORS, LLC
GOLDMAN SACHS & CO. LLC
CSENGE ADVISORY GROUP, LLC
Current Firm
INTERNATIONAL TRADER ASSOCIATION, INC. | STONEX FINANCIAL INC. | STONEX | INTLTRADER.COM, INC. | INTL TRADING, INC. | INTL FCSTONE SECURITIES INC. | INTL FCSTONE FINANCIAL INC.
Contact Information
Main Address
329 Park Avenue North Suite 350, Winter Park, FL 32789Mailing Address
329 Park Avenue North Suite 350, Winter Park, FL 32789Phone Number
(407) 741-5300Established
Florida since 05/29/1998Firm Type
CorporationFiscal Year End
SeptemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | — |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | DIRECTOR, CHIEF EXECUTIVE OFFICER, CHAIRMAN OF THE BOARD | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, PRESIDENT | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SHEA, KEVIN | SECRETARY | 8263627 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
Regulatory Event
76Similar Advisors
STIRLINGSHIRE INVESTMENTS
EQUITABLE ADVISORS, LLC
GOLDMAN SACHS & CO. LLC
CSENGE ADVISORY GROUP, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
STIRLINGSHIRE INVESTMENTS
EQUITABLE ADVISORS, LLC
GOLDMAN SACHS & CO. LLC
CSENGE ADVISORY GROUP, LLC
State Registrations and Notice Filings
(7/3/2017)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
Similar Advisors
STIRLINGSHIRE INVESTMENTS
EQUITABLE ADVISORS, LLC
GOLDMAN SACHS & CO. LLC
CSENGE ADVISORY GROUP, LLC
CRS (Client Relationship Summary) - BD
Click below to view Eric James Warner's CRS (Customer Relationship Summary).
Similar Advisors
STIRLINGSHIRE INVESTMENTS
EQUITABLE ADVISORS, LLC
GOLDMAN SACHS & CO. LLC
CSENGE ADVISORY GROUP, LLC
