Dwayne J. Seabrooks
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dwayne John Seabrooks was a registered financial professional .
Dwayne is a previously registered financial professional and started their career in finance in 1990. Dwayne had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2019 - November 17, 2021
STONEX SECURITIES INC.
June 14, 2007 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
April 1, 2004 - June 30, 2005
YANKEE FINANCIAL GROUP, INC.
July 6, 2000 - April 3, 2002
BROOKSTREET SECURITIES CORPORATION
August 31, 1999 - March 23, 2000
EISNER SECURITIES, INC.
September 17, 1998 - September 9, 1999
G.F.B. SECURITIES, INC.
August 14, 1995 - August 7, 1998
G.F.B. SECURITIES, INC.
January 8, 1991 - November 3, 1994
PRUDENTIAL EQUITY GROUP, LLC
November 24, 1990 - December 17, 1990
CHATFIELD DEAN & CO., INC.
June 25, 1990 - December 3, 1990
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 4/25/2024
General Securities Representative ExaminationCurrent Firm
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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