PR
Pauline E. Rosenstein
STONEX ADVISORS
Annandale, VA
Some features on this profile are disabled
CRD#: 212619
PR
Professional summary
Pauline Elkins Rosenstein, CFP®, who also goes by Pauline Dixon Elkins, Pauline E Francis, Pauline Elkins Francis, Francis Rosenstein, Pauline Rosenstein, Polly Rosenstein, is a registered financial advisor currently at STONEX ADVISORS INC. located in Annandale, Virginia and STONEX SECURITIES INC. located in Annandale, Virginia.
Pauline is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Pauline has worked at 10 firms and has passed the Series 63, Series 65, Series 52TO, Series 7TO, SIE, Series 1, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pauline Dixon Elkins | Pauline E Francis | Pauline Elkins Francis | Francis Rosenstein | Pauline Rosenstein | Polly Rosenstein
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)LAKESIDE PRODUCTIONS, 3416 WASHINGTON DR, FALLS CHURCH, VA 22041: LLC, NATURE OF BUS: PHOTOGRAPHY, TITLE: VICE PRESIDENT, TIME SPENT: 0 2)MASS MUTUAL LIFE INSURANCE CO, 1295 STATE STREET, SPRINGFIELD MA 01111: NATURE OF BUS: INSURANCE AGENCY, TITLE: AGENT, PERCENTAGE OF TIME SPENT: 0 3)REDSTONE FINANCIAL ADVISORS LLC 3416 WASHINGTON DR, FALLS CHURCH VA 22041: SOLE PROPRIETORSHIP, D/B/A NAME ONLY 4)Rotary International Rotary International Baileys Crossroads Club Baileys Crossroads, VA, USA Nature of Business - Service Club Not Investment Related Title/Position - Member Duties - none Start date - 05/01/2017 Approximately 8 hours on this OBA monthly with zero during market hours. 5) AAUW The American Associate of University Woman - 1310 L St NW Ste 1000 Washington DC 20005 Nature of Business - Advancing equity for women and girls Not Investment Related Position/Title - member Duties - none Start Date - 07/10/2017 Approximately two hours monthly on this OBA with zero during market hours. 6) Annandale United Methodist Church 6935 Columbia Pike, Annandale, VA 22003 Nature of business - Church Not Investment Related Position/Title - member Duties - None Start Date - 08/01/2018 Approximately 8 hours spent on this OBA monthly with zero during market hours.
CRS (Client Relationship Summary) - RIA
Click below to view Pauline Elkins Rosenstein'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®
CFP®
Start date: 2012
Experience
Current
January 30, 2015 - Present
STONEX ADVISORS INC.
RIA
CRD#: 174182
Annandale, VA
Current
September 12, 2014 - Present
STONEX SECURITIES INC.
Office #1: 6926 F Little River Turnpike, Annandale, VA 22003BD
CRD#: 18456
Annandale, VA
Past
January 6, 2006 - January 30, 2015
WRP INVESTMENTS, INC.
RIA
CRD#: 7365
FALLS CHURCH, VA
Past
January 6, 2006 - September 12, 2014
WRP INVESTMENTS, INC.
BD
CRD#: 7365
FALLS CHURCH, VA
Past
April 12, 1994 - December 31, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
FALLS CHURCH, VA
Past
September 8, 1993 - December 31, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
FALLS CHURCH, VA
Past
July 23, 1992 - August 26, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
November 2, 1989 - June 10, 1992
DERAND/PENNINGTON/BASS, INC.
BD
CRD#: 4679
Past
January 28, 1988 - November 4, 1989
PEGASUS CAPITAL CORPORATION
BD
CRD#: 13658
ARLINGTON, VA
Past
February 24, 1978 - February 10, 1988
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
December 6, 1973 - February 24, 1978
REYNOLDS SECURITIES, INC.
BD
CRD#: 712
Past
October 10, 1973 - December 21, 1973
LOEB RHOADES & CO
BD
CRD#: 1000001
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
RR
Alabama(7/2/2025)
RR
California(9/12/2014)
RR
Connecticut(1/4/2021)
RR
Delaware(7/13/2021)
RR
District of Columbia(9/12/2014)
RR
Florida(4/18/2018)
RR
Maine(9/12/2014)
RR
Maryland(9/12/2014)
RR
New York(9/12/2014)
RR
Oregon(9/7/2022)
RR
Pennsylvania(9/12/2014)
RR
Texas(9/12/2014)
RR
Virginia(9/12/2014)
IAR
Virginia(1/30/2015)
RR
Washington(9/12/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 10/9/1973
Registered Representative ExaminationPrincipal/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.
