Stephen T. Gola
Professional summary
Stephen Thomas Gola, who also goes by Stephen Gola, is a registered financial professional currently at STONEX FINANCIAL INC. located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2001. Stephen has worked at 6 firms and has passed the Series 63, Series 57TO, Series 3, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Thomas Gola's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 10, 2022 - Present
STONEX FINANCIAL INC.
Office #1: 230 Park Avenue 10th Floor, New York, NY, 10169Office #2: 1 Raffles Place #18-61, Tower 2, Singapore 048616September 5, 2025 - May 26, 2026
R.J. O'BRIEN SECURITIES, LLC
October 12, 2017 - December 16, 2021
ODEON CAPITAL GROUP LLC
March 5, 2015 - January 13, 2017
RBC CAPITAL MARKETS, LLC
April 3, 2014 - November 26, 2014
RBC CAPITAL MARKETS, LLC
November 18, 2010 - April 2, 2014
CITIGROUP GLOBAL MARKETS INC.
September 14, 2009 - September 13, 2010
BARCLAYS CAPITAL INC.
October 2, 2001 - September 25, 2009
CITIGROUP GLOBAL MARKETS 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
(12/20/2022)
(2/13/2023)
(12/21/2022)
(12/21/2022)
(2/10/2023)
(12/22/2022)
(3/6/2023)
(12/22/2022)
(1/31/2023)
(2/6/2024)
(1/4/2023)
(2/2/2023)
(1/9/2023)
(1/9/2023)
(12/21/2022)
(2/2/2023)
(12/22/2022)
(2/1/2023)
(12/21/2022)
(1/18/2023)
(2/8/2023)
(12/20/2022)
(12/21/2022)
(1/10/2022)
(12/20/2022)
(1/3/2023)
(12/20/2022)
(1/24/2023)
(12/20/2022)
(2/3/2023)
(1/3/2023)
(4/14/2023)
(12/20/2022)
(12/21/2022)
(12/21/2022)
(12/20/2022)
(1/5/2023)
(1/5/2023)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/3/2001
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR/CEO SECURITIES | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 76 |
Red Flags
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