Glaurys G. Ariass
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.
Glaurys Gersa Ariass was a registered financial professional .
Glaurys is a previously registered financial professional and started their career in finance in 1994. Glaurys had worked at 8 firms and has passed the Series 63, Series 7TO, Series 6TO, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 6, Series 27 and Series 24 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 23, 2021
STONEX SECURITIES INC.
October 10, 2012 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
October 13, 2008 - November 9, 2010
QUEST CAPITAL STRATEGIES, INC.
January 4, 2006 - December 19, 2007
CETERA ADVISORS LLC
January 4, 2006 - December 19, 2007
VOYA FINANCIAL ADVISORS, INC.
December 8, 2005 - December 19, 2007
CETERA WEALTH SERVICES, LLC
July 12, 2001 - October 5, 2004
J. ALEXANDER SECURITIES, INC.
July 21, 1998 - June 25, 2001
WEST AMERICA SECURITIES CORP
February 27, 1995 - January 13, 1997
WEST AMERICA SECURITIES CORP
February 9, 1994 - December 31, 1994
NYLIFE 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
Exams
Series 7TO
Date: 1/3/2024
General Securities Representative ExaminationSeries 6TO
Date: 1/3/2024
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 1/3/2024
Operations Professional ExaminationSeries 57TO
Date: 1/3/2024
Securities Trader ExamSeries 55
Date: 10/13/1998
Limited Representative-Equity Trader ExamCurrent 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.
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