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HC

Haris N. Ctorides

STONEX SECURITIES
Warren, NJ 07059
Some features on this profile are disabled
CRD#: 2773091
HC

Professional summary

Haris N Ctorides, who also goes by Haris Nicos Ctorides Sr, Haris Nicos Ctorides, is a registered financial professional currently at STONEX SECURITIES INC. located in Warren, New Jersey.

Haris is registered as a RR (Registered Representative) and started their career in finance in 1996. Haris has worked at 11 firms and has passed the Series 63, Series 99TO, SIE, Series 55, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Haris Nicos Ctorides Sr | Haris Nicos Ctorides

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 Haris N Ctorides'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

April 28, 2022 - Present

STONEX SECURITIES INC.

Office #1: 30 Independence Blvd 3rd Floor, Warren, NJ 07059
BD
CRD#: 18456
Warren, NJ
Past

December 24, 2020 - April 5, 2022

STONEX FINANCIAL INC.

BD
CRD#: 45993
NEW YORK, NY
Past

May 6, 2009 - August 11, 2020

GAIN SECURITIES

BD
CRD#: 16203
BEDMINSTER, NJ
Past

June 19, 2007 - April 28, 2008

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

January 31, 2005 - September 16, 2005

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

April 20, 2004 - November 5, 2004

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

June 30, 2001 - October 30, 2002

DATEK ONLINE FINANCIAL SERVICES LLC

BD
CRD#: 36807
JERSEY CITY, NJ
Past

June 19, 1997 - June 30, 2001

ICAPITAL MARKETS LLC

BD
CRD#: 5209
OMAHA, NE
Past

February 28, 1997 - May 13, 1997

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO
Past

December 9, 1996 - January 22, 1997

MATRIX SECURITIES CORPORATION

BD
CRD#: 30991
GARDEN CITY, NY
Past

October 29, 1996 - November 13, 1996

MEYERS POLLOCK ROBBINS, INC.

BD
CRD#: 13436
NEW YORK, NY
Past

October 3, 1996 - October 22, 1996

SUPPES SECURITIES, INC.

BD
CRD#: 13722
NYC, 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
New Jersey
(4/28/2022)
RR
New York
(4/28/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 12/20/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/22/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/2/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/19/1998
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/13/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
STONEX SECURITIES INC.
C G MATON FINANCIAL SERVICES , INC. | STONEX WEALTH MANAGEMENT | STONEX SECURITIES INC. | STERNE AGEE FINANCIAL SERVICES, INC. | SOUTHEAST NETWORK EQUITIES GROUP, INC. | SAL FINANCIAL SERVICES, INC. | SA STONE WEALTH MANAGEMENT INC. | INVESTECH CAPITAL CORPORATION | CAPITAL GROWTH MANAGEMENT INC.

CRD#: 18456 / SEC#: , 8-36638

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

Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Mailing Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Phone number
(800) 292-2411
Established
Delaware since 01/22/2002
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees

FINRA licenses (52 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.100% OWNER
BOLTE, DAVID ALBERTSECRETARY2711410
CARTER, JAY WILSONPRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR2412541
DAVISON, STUART ANDREWDIRECTOR7824576
DUNAWAY, WILLIAM JOHNDIRECTOR6505923
HUGO, MARK ERICPOO2177412
LYON, CHARLES MARTINDIRECTOR4000852
MAURER, MARK LDIRECTOR4234406
MCAUSLAN, JAMES BUCHANANDIRECTOR7658964
PARKER, BRIAN LANECHIEF COMPLIANCE OFFICER, ROSFP4635848
PORZIO, JOSEPH JOHNCFO / PFO / FINOP1319702
RICHARDSON, MARCUS BRYANTCHIEF OPERATING OFFICER3037932
SMITH, PHILIP ANDREWDIRECTOR, CHAIRMAN OF THE BOARD4999097

Disclosures

Regulatory Event9
Arbitration4

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 SECURITIES INC.

CRD#: 18456Warren, NJ 07059

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