Eric T. Diesl
Professional summary
Eric Tristan Diesl is a registered financial professional currently at STONEX SECURITIES INC. located in St. Augustine, Florida.
Eric is registered as a RR (Registered Representative) and started their career in finance in 1992. Eric has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Eric Tristan Diesl's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 6, 2019 - Present
STONEX SECURITIES INC.
March 11, 2014 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
September 19, 2011 - September 3, 2013
EVERLAKE DISTRIBUTORS, LLC
February 9, 2006 - September 19, 2011
ALFS, INC.
August 29, 2003 - February 9, 2006
QUEST CAPITAL STRATEGIES, INC.
September 8, 2000 - August 30, 2001
ALLSTATE FINANCIAL SERVICES, LLC
July 31, 2000 - October 4, 2000
MILESTONE FINANCIAL SERVICES, INC.
November 5, 1999 - August 14, 2000
NYLIFE SECURITIES LLC
June 29, 1999 - November 1, 1999
HORNOR, TOWNSEND & KENT, LLC
October 30, 1998 - August 27, 1999
QUEST CAPITAL STRATEGIES, INC.
January 29, 1998 - November 18, 1998
IAC SECURITIES, INC.
December 21, 1996 - April 3, 1997
BARNETT INVESTMENTS, INC.
March 5, 1996 - September 29, 1997
SEI INVESTMENTS DISTRIBUTION CO.
June 8, 1994 - October 25, 1999
INVESTACORP, INC.
January 4, 1994 - January 31, 1994
CHARLES SCHWAB & CO., INC.
January 28, 1993 - January 1, 1994
H.J. MEYERS & CO., INC.
July 7, 1992 - August 12, 1992
F.N. WOLF & CO., INC.
June 17, 1992 - June 25, 1992
HIBBARD BROWN & CO., 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
(12/6/2019)
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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