Eric V. Chiudioni
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Eric Vince Chiudioni, who also goes by Rick Chiudioni, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1993. Eric had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2019 - August 9, 2022
STONEX SECURITIES INC.
February 28, 2012 - December 31, 2015
QUEST CAPITAL STRATEGIES, INC.
January 23, 2012 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
August 8, 2007 - March 12, 2010
TRANSAMERICA INVESTMENT MANAGEMENT, LLC
December 3, 2005 - March 10, 2010
TRANSAMERICA CAPITAL, LLC
April 22, 2004 - September 8, 2005
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 22, 2004 - September 8, 2005
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 15, 2001 - April 13, 2004
STRONG CAPITAL MANAGEMENT INC
July 16, 2001 - April 13, 2004
STRONG INVESTMENTS, INC.
June 6, 2000 - July 11, 2001
ORBITEX FUNDS DISTRIBUTOR, INC.
May 11, 1999 - June 8, 2000
FUNDS DISTRIBUTOR, LLC
November 25, 1996 - December 14, 1998
PROFUNDS DISTRIBUTORS, INC.
June 24, 1996 - February 19, 1999
FORESIDE DISTRIBUTION SERVICES, L.P.
November 30, 1993 - May 24, 1995
AMERIPRISE ADVISOR SERVICES, INC.
November 30, 1993 - May 28, 1996
NATIONAL CITY INVESTMENTS CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
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
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.
