Dean M. Firmani
Professional summary
Dean Michael Firmani is a registered financial professional currently at STONEX SECURITIES INC. located in Wilton, New Hampshire.
Dean is registered as a RR (Registered Representative) and started their career in finance in 1992. Dean has worked at 17 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dean Michael Firmani's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 30, 2024 - Present
STONEX SECURITIES INC.
Office #1: 136 Pead Hill Rd, Wilton, NH 03086September 16, 2009 - September 23, 2024
AGES FINANCIAL SERVICES, LTD.
May 14, 2009 - September 21, 2009
OSAIC FS, INC.
December 15, 2006 - May 21, 2009
U.S. WEALTH ADVISORS, LLC.
September 22, 2004 - December 14, 2006
USI SECURITIES, INC.
May 16, 2003 - December 5, 2003
SECURITIES AMERICA, INC.
February 15, 2002 - May 15, 2003
AMERITAS INVESTMENT COMPANY, LLC
February 15, 2002 - May 15, 2003
AMERITAS INVESTMENT COMPANY, LLC
August 23, 2001 - January 31, 2002
HORNOR, TOWNSEND & KENT, LLC
August 18, 2000 - August 28, 2001
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 16, 1998 - August 18, 2000
L.M. KOHN & COMPANY
October 29, 1996 - April 3, 1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 29, 1996 - April 3, 1998
EQUITABLE ADVISORS, LLC
March 8, 1995 - October 18, 1996
USLIFE EQUITY SALES CORP.
August 30, 1993 - March 1, 1995
WS GRIFFITH SECURITIES, INC.
July 21, 1993 - August 30, 1993
VP DISTRIBUTORS LLC
May 5, 1993 - July 7, 1993
PRUCO SECURITIES, LLC.
January 6, 1992 - July 22, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 6, 1992 - July 22, 1992
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/30/2024)
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(10/2/2024)
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Exams
FINRA
Current 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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