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DG

David A. Grodzicki

STONEX FINANCIAL
Kansas City, MO 64116
Some features on this profile are disabled
CRD#: 2456717
DG

Professional summary

David Alan Grodzicki is a registered financial professional currently at STONEX FINANCIAL INC. located in Kansas City, Missouri.

David is registered as a RR (Registered Representative) and started their career in finance in 1996. David has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Alan Grodzicki's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 30, 2017 - Present

STONEX FINANCIAL INC.

Office #1: 1251 Nw Briarcliff Parkway Ste 800, Kansas City, MO 64116
BD
CRD#: 45993
Kansas City, MO
Past

October 22, 2013 - June 2, 2017

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

August 14, 2013 - October 21, 2013

UMB FINANCIAL SERVICES, INC.

BD
CRD#: 17073
KANSAS CITY, MO
Past

January 14, 2004 - September 2, 2011

AMERICAN CENTURY INVESTMENT SERVICES INC.

BD
CRD#: 17437
KANSAS CITY, MO
Past

June 2, 2003 - December 19, 2003

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

May 20, 2002 - October 15, 2002

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

May 23, 2000 - November 21, 2001

AMERICAN CENTURY INVESTMENT SERVICES INC.

BD
CRD#: 17437
KANSAS CITY, MO
Past

August 22, 1996 - January 14, 1997

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Missouri
(7/19/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 7/5/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/13/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/22/2000
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/3/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SF
STONEX FINANCIAL INC.
INTERNATIONAL TRADER ASSOCIATION, INC. | STONEX FINANCIAL INC. | STONEX | INTLTRADER.COM, INC. | INTL TRADING, INC. | INTL FCSTONE SECURITIES INC. | INTL FCSTONE FINANCIAL INC.

CRD#: 45993 / SEC#: , 8-51269

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Mailing Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Phone number
(407) 741-5300
Established
Florida since 05/29/1998
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STONEX GROUP INC.OWNER
BOLTE, DAVID ALBERTSECRETARY2711410
DAVISON, STUART ANDREWDIRECTOR; CHIEF OPERATING OFFICER7824576
DICIOLLO, ANTHONY JOSEPHPRESIDENT/DIRECTOR4976402
DUNAWAY, WILLIAM JOHNDIRECTOR, CHIEF FINANCIAL OFFICER6505923
LYON, CHARLES MARTINDIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER4000852
MAURER, MARK LDIRECTOR, CHIEF RISK OFFICER4234406
PORZIO, JOSEPH JOHNFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER1319702
SMITH, PHILIP ANDREWDIRECTOR4999097
SZEKELY, GIGI KLARACHIEF COMPLIANCE OFFICER - BD DIVISION2530826

Disclosures

Regulatory Event75

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.

Company Information

STONEX FINANCIAL INC.

CRD#: 45993Kansas City, MO 64116

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