DE
Deborah L. Eagen
STONEX ADVISORS
Birmingham, AL 35205
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CRD#: 2082742
DE
Professional summary
Deborah Lopez Eagen, who also goes by Deborah Lopez Harris, Deborah D Lopez, Deborah Diane Lopez, Deborah Dianne Lopez, Debbie Sitz, Deborah Lopez Sitz, is a registered financial advisor currently at STONEX ADVISORS INC. located in Birmingham, Alabama and STONEX SECURITIES INC. located in Birmingham, Alabama.
Deborah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Deborah has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Deborah Lopez Harris | Deborah D Lopez | Deborah Diane Lopez | Deborah Dianne Lopez | Debbie Sitz | Deborah Lopez Sitz
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.
1)RW Management LLC
2120 16th Avenue South Suite 100 Birmingham, AL 35205
Nature of Business: Investment Services
Investment Related: Yes
Start Date: 09/20/2019
Title: Registered Sales Assistant
Duties: Assistant to advisor with client operations
Hours Devoted to Business: 160
Hours Devoted to Business during Market Hours: 6.5
2) DBA Roberts Wealth Management
2120 16th Avenue South Suite 100 Birmingham, AL 35205
Nature of Business: Investment Services
Investment Related: Yes
Start Date: 09/20/2019
Title: Registered Sales Assistant
Duties: Assistant to advisor with client operations
Hours Devoted to Business: 160
Hours Devoted to Business during Market Hours: 6.5
CRS (Client Relationship Summary) - RIA
Click below to view Deborah Lopez Eagen's 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®
NoneExperience
Current
September 23, 2019 - Present
STONEX ADVISORS INC.
Office #1: 2120 16th Ave South Suite 100, Birmingham, AL 35205RIA
CRD#: 174182
Birmingham, AL
Current
September 20, 2019 - Present
STONEX SECURITIES INC.
Office #1: 2120 16th Ave S Suite 100, Birmingham, AL 35205BD
CRD#: 18456
Birmingham, AL
Past
September 18, 2015 - October 2, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
BIRMINGHAM, AL
Past
September 18, 2015 - October 2, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
BIRMINGHAM, AL
Past
October 1, 2013 - September 8, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
MONTGOMERY, AL
Past
October 1, 2013 - September 8, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
MONTGOMERY, AL
Past
February 25, 2013 - October 14, 2013
INTL ADVISORY CONSULTANTS INC.
RIA
CRD#: 130888
MONTGOMERY, AL
Past
February 22, 2013 - October 14, 2013
STERNE, AGEE & LEACH, INC.
BD
CRD#: 791
MONTGOMERY, AL
Past
April 30, 2012 - January 25, 2013
MORGAN STANLEY
RIA
CRD#: 149777
MONTGOMERY, AL
Past
August 16, 2010 - January 25, 2013
MORGAN STANLEY
BD
CRD#: 149777
MONTGOMERY, AL
Past
June 19, 2008 - November 13, 2009
COLONIAL BROKERAGE, INC.
BD
CRD#: 111668
MONTGOMERY, AL
Past
March 1, 2006 - October 6, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
MONTGOMERY, AL
Past
June 2, 2005 - September 29, 2005
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
July 24, 2002 - January 10, 2005
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
March 6, 1998 - September 24, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
Past
February 6, 1998 - February 12, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
February 7, 1997 - January 27, 1998
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
Past
February 6, 1991 - July 22, 1996
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
September 7, 1990 - February 27, 1991
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SA
STONEX ADVISORS INC.
ABERDEEN FINANCIAL GROUP | WOYTOWICH WISLOSKI INVESTMENT GROUP | WOODEN INVESTMENTS | WILLOWBY ADVISORS | WEALTH MANAGEMENT SOLUTIONS | WAINWRIGHT LAVENTIS | WAHFELD WEALTH MANAGEMENT GROUP | TEWKSBURY FINANCIAL LLC | SYNERGY WEALTH MANAGEMENT | STURM FINANCIAL SERVICES | STREET FINANICAL SERVICES | STRATEGIC FINANCIAL GROUP | STORMS AND ROWDON WEALTH MANAGEMENT | STONEX WEALTH MANAGEMENT | STONEX ADVISORS INC. | STONE FINANCIAL GROUP, LLC | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | SPARGER INVESTMENTS | SMART MONEY STRATEGIES, INC. | SA STONE INVESTMENT ADVISORS INC. | RON COITE & ASSOCIATES | ROBERTS WEALTH MANAGEMENT | RKB INVESTMENTS | RIVER FINANCIAL SERVICES | RICHMOND FINANCIAL LLC | REGENCY FINANICAL GROUP, LLC | REDSTONE FINANCIAL ADVISORS | QUARRY LAKES FINANCIAL GROUP | PARTNERS FINANCIAL GROUP, LLC | ONE SOURCE FINANCIAL GROUP | OLDE HICKORY FINANCIAL SERVICES, LLC | OAK CREST FINANCIAL PARTNERS LLC | NUFRIO WEALTH MANAGEMENT | NEBEL FINANCIAL | MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT | MAX WEALTH MANAGEMENT | MANAGED LEGACY WEALTH COUNSEL | LIFESCOPE PLANNING AND INVESTMENT SERVICES | LEGACY INVESTMENT PLANNING | LANNIGAN SECURITIES | LANEY FINANCIAL | LANCE HOCUTT FINANCIAL GROUP | LAKE NORMAN ADVISORS LLC | KPJ FINANCIAL SERVICES | KEVIN DICK ASSET MANAGEMENT CO | KENNARD FINANCIAL SERVICES | KEITH FORD AND ASSOCIATES | KAIROS FINANCIAL MANAGEMENT | INVESTMENT SECURITIES GROUP, INC. | INTEGRARISK CORP | IM WEALTH PARTNERS | HOVANIC WEALTH SOLUTIONS | HLM FINANCIAL SERVICES, INC. | HIZNAY & ASSOCIATES | HENRY WEALTH MANAGEMENT | HENDERSON FINANCIAL SERVICES | HEADWATER ASSET MANAGEMENT, LLC | GUARDIAN WEALTH FINANCIAL | GRUDZINSKI FINANCIAL SERVICES | GRANDVIEW WEALTH ADVISORS | GEORGE STRATEGIC WEALTH | ELLEDGE, BAIN, SIDES, LLC | EAGLE CREEK WEALTH MANAGEMENT, LLC | DON LEDFORD ASSOCIATES, LLC | DILWORTH FINANCIAL SERVICES | DCP ASSET MANAGEMENT, LLC | CWT FINANCIAL | CRESS WEALTH STRATEGIES | COX FINANCIAL CORPORATION | CORLEY WEALTH MANAGEMENT | CONSERVATIVE CONCEPTS, INC. | COMPASS WEALTH MANAGEMENT, LLC | CHAD J. KARL | BUSSEY CAPITAL MANAGEMENT, LLC | BURLESON DAWKINS INC. | BARNEGAT FINANCIAL | BARKO FINANCIAL | AFFILIATED FINANCIAL PLANNERS, LLC
CRD#: 174182 / SEC#: 801-80747
RIA
Registered Investment Advisory firm - (12/17/2014 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
IAR
Alabama(9/23/2019)
RR
Alabama(10/3/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SA
STONEX ADVISORS INC.
ABERDEEN FINANCIAL GROUP | WOYTOWICH WISLOSKI INVESTMENT GROUP | WOODEN INVESTMENTS | WILLOWBY ADVISORS | WEALTH MANAGEMENT SOLUTIONS | WAINWRIGHT LAVENTIS | WAHFELD WEALTH MANAGEMENT GROUP | TEWKSBURY FINANCIAL LLC | SYNERGY WEALTH MANAGEMENT | STURM FINANCIAL SERVICES | STREET FINANICAL SERVICES | STRATEGIC FINANCIAL GROUP | STORMS AND ROWDON WEALTH MANAGEMENT | STONEX WEALTH MANAGEMENT | STONEX ADVISORS INC. | STONE FINANCIAL GROUP, LLC | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | SPARGER INVESTMENTS | SMART MONEY STRATEGIES, INC. | SA STONE INVESTMENT ADVISORS INC. | RON COITE & ASSOCIATES | ROBERTS WEALTH MANAGEMENT | RKB INVESTMENTS | RIVER FINANCIAL SERVICES | RICHMOND FINANCIAL LLC | REGENCY FINANICAL GROUP, LLC | REDSTONE FINANCIAL ADVISORS | QUARRY LAKES FINANCIAL GROUP | PARTNERS FINANCIAL GROUP, LLC | ONE SOURCE FINANCIAL GROUP | OLDE HICKORY FINANCIAL SERVICES, LLC | OAK CREST FINANCIAL PARTNERS LLC | NUFRIO WEALTH MANAGEMENT | NEBEL FINANCIAL | MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT | MAX WEALTH MANAGEMENT | MANAGED LEGACY WEALTH COUNSEL | LIFESCOPE PLANNING AND INVESTMENT SERVICES | LEGACY INVESTMENT PLANNING | LANNIGAN SECURITIES | LANEY FINANCIAL | LANCE HOCUTT FINANCIAL GROUP | LAKE NORMAN ADVISORS LLC | KPJ FINANCIAL SERVICES | KEVIN DICK ASSET MANAGEMENT CO | KENNARD FINANCIAL SERVICES | KEITH FORD AND ASSOCIATES | KAIROS FINANCIAL MANAGEMENT | INVESTMENT SECURITIES GROUP, INC. | INTEGRARISK CORP | IM WEALTH PARTNERS | HOVANIC WEALTH SOLUTIONS | HLM FINANCIAL SERVICES, INC. | HIZNAY & ASSOCIATES | HENRY WEALTH MANAGEMENT | HENDERSON FINANCIAL SERVICES | HEADWATER ASSET MANAGEMENT, LLC | GUARDIAN WEALTH FINANCIAL | GRUDZINSKI FINANCIAL SERVICES | GRANDVIEW WEALTH ADVISORS | GEORGE STRATEGIC WEALTH | ELLEDGE, BAIN, SIDES, LLC | EAGLE CREEK WEALTH MANAGEMENT, LLC | DON LEDFORD ASSOCIATES, LLC | DILWORTH FINANCIAL SERVICES | DCP ASSET MANAGEMENT, LLC | CWT FINANCIAL | CRESS WEALTH STRATEGIES | COX FINANCIAL CORPORATION | CORLEY WEALTH MANAGEMENT | CONSERVATIVE CONCEPTS, INC. | COMPASS WEALTH MANAGEMENT, LLC | CHAD J. KARL | BUSSEY CAPITAL MANAGEMENT, LLC | BURLESON DAWKINS INC. | BARNEGAT FINANCIAL | BARKO FINANCIAL | AFFILIATED FINANCIAL PLANNERS, LLC
CRD#: 174182 / SEC#: 801-80747
RIA
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Contact information
Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Mailing Address
Phone number
(800) 292-2411
Established
Firm type
Fiscal year end
# of Employees
233
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,988 |
| AUM (Assets Under Management) | $ 4,515,278,523 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/27/2025 | ||
| 02/27/2024 | ||
| 01/20/2023 |
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 ADVISORS INC.
CRD#: 174182Birmingham, AL 35205TRUST BUT VERIFY
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