Dean S. Mustaphalli
Professional summary
Dean Sadrudin Mustaphalli was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dean is a previously registered financial advisor and started their career in finance in 1996. Prior to being barred, Dean had worked at 5 firms, which includes STONEX SECURITIES INC., CITIGROUP GLOBAL MARKETS INC., CITICORP INVESTMENT SERVICES, PRUDENTIAL EQUITY GROUP LLC, ROYCE INVESTMENT GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2009 - September 16, 2011
STONEX SECURITIES INC.
May 29, 2007 - December 14, 2009
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - December 14, 2009
CITIGROUP GLOBAL MARKETS INC.
November 9, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
July 14, 1998 - May 29, 2007
CITICORP INVESTMENT SERVICES
March 25, 1997 - February 2, 1998
PRUDENTIAL EQUITY GROUP, LLC
September 9, 1996 - November 11, 1996
ROYCE INVESTMENT GROUP, 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
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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