Jason M. Ganton
Professional summary
Jason Michael Ganton was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jason is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Jason had worked at 11 firms, which includes STONEX SECURITIES INC., EMMETT A LARKIN COMPANY INC., SALOMON GREY FINANCIAL CORPORATION, HUNTER SCOTT FINANCIAL LLC., EMERSON BENNETT & ASSOCIATES, J.P. TURNER & COMPANY L.L.C., NICHOLS SAFINA LERNER & CO. INC., THE THORNWATER COMPANY L.P., THE BOSTON GROUP, EURO-ATLANTIC SECURITIES INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2009 - July 23, 2012
STONEX SECURITIES INC.
November 1, 2005 - August 17, 2009
EMMETT A LARKIN COMPANY, INC.
April 5, 2004 - November 14, 2005
SALOMON GREY FINANCIAL CORPORATION
June 25, 2003 - April 5, 2004
HUNTER SCOTT FINANCIAL LLC.
August 28, 2001 - July 25, 2003
SALOMON GREY FINANCIAL CORPORATION
May 5, 1999 - September 25, 2001
EMERSON BENNETT & ASSOCIATES
July 21, 1997 - May 12, 1999
J.P. TURNER & COMPANY, L.L.C.
February 21, 1997 - July 24, 1997
NICHOLS, SAFINA, LERNER & CO. INC.
September 25, 1996 - January 30, 1997
THE THORNWATER COMPANY, L.P.
August 8, 1996 - October 2, 1996
THE BOSTON GROUP
July 26, 1996 - August 23, 1996
EURO-ATLANTIC SECURITIES INC.
June 3, 1996 - July 26, 1996
WELLS FARGO ADVISORS FINANCIAL NETWORK, 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
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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