Ernest S. Zum Tobel
Professional summary
Ernest Stevenson Zum Tobel, who also goes by Steve Goge, Steve Gogezumtobel, E. Steven Zum Tobel, Steven Zum Tobel, Ernest Stevenson Zumtobel, Goge Zumtobel, Steve Goge Zumtobel, is a registered financial professional currently at STONEX FINANCIAL INC. located in Boca Raton, Florida.
Ernest is registered as a RR (Registered Representative) and started their career in finance in 1991. Ernest has worked at 12 firms and has passed the Series 63, Series 52TO, Series 99TO, Series 79TO, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 53, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ernest Stevenson Zum Tobel's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 13, 2013 - Present
STONEX FINANCIAL INC.
Office #1: 2600 North Military Trail Suite 100, Boca Raton, FL 33431August 5, 2016 - July 11, 2017
STERNE, AGEE & LEACH, INC.
August 5, 2016 - August 31, 2018
INTL CUSTODY & CLEARING SOLUTIONS INC.
March 31, 2010 - October 31, 2013
AVENTURA SECURITIES, LLC
November 17, 2009 - January 6, 2010
BRONSON & CO., LLC
January 8, 2007 - November 22, 2013
FIRST AMERICAN CAPITAL AND TRADING CORPORATION
June 19, 2003 - August 9, 2007
VARIANT TRADING INSTITUTIONAL GROUP, INC.
March 18, 2002 - April 19, 2005
FIRST AMERICAN CAPITAL AND TRADING CORPORATION
January 10, 2002 - February 28, 2002
FRANKLIN NATIONAL FINANCIAL GROUP, LLC
February 16, 1998 - July 24, 2001
TRADESTATION SECURITIES, INC.
October 14, 1996 - December 17, 1996
UNITED BROKERAGE SERVICES, INC
October 4, 1995 - September 19, 1997
CHASE GLOBAL SECURITIES, INC
December 24, 1991 - August 24, 1994
MERIDIAN ASSET MANAGEMENT, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/21/2015)
(11/13/2013)
(1/3/2024)
(1/3/2024)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/14/2002
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
Red Flags
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Company Information
STONEX FINANCIAL INC.
CRD#: 45993Boca Raton, FL 33431TRUST BUT VERIFY
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