David B. Sokolowski
Professional summary
David Bernard Sokolowski, who also goes by David Sokolowski, is a registered financial professional currently at STONEX SECURITIES INC. located in Danbury, Connecticut.
David is registered as a RR (Registered Representative) and started their career in finance in 1993. David has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Bernard Sokolowski's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2014 - Present
STONEX SECURITIES INC.
January 6, 2012 - September 12, 2014
WRP INVESTMENTS, INC.
November 8, 2010 - December 6, 2011
NEW ENGLAND SECURITIES
February 25, 2010 - November 22, 2010
PRINCIPAL SECURITIES, INC.
August 12, 2009 - January 8, 2010
MML INVESTORS SERVICES, LLC
June 26, 2007 - August 4, 2009
PRINCIPAL SECURITIES, INC.
January 10, 1994 - January 17, 2007
TRANSAMERICA INVESTORS SECURITIES, LLC
September 29, 1993 - January 10, 1994
MONY SECURITIES 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
(9/12/2014)
(11/15/2016)
(9/12/2014)
(1/4/2021)
(9/12/2014)
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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