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WJ

William C. Jo

STONEX FINANCIAL
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 2813562
WJ

Professional summary

William Chang Jo is a registered financial professional currently at STONEX FINANCIAL INC. located in Boca Raton, Florida.

William is registered as a RR (Registered Representative) and started their career in finance in 1996. William has worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 24 and Series 4 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 William Chang Jo'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

November 13, 2013 - Present

STONEX FINANCIAL INC.

Office #1: 2600 North Military Trail Suite 100, Boca Raton, FL 33431
BD
CRD#: 45993
Boca Raton, FL
Past

February 21, 2019 - May 1, 2019

INTL FCSTONE CREDIT TRADING LLC

BD
CRD#: 41025
NEW YORK, NY
Past

December 1, 2016 - July 11, 2017

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BOCA RATON, FL
Past

August 7, 2007 - January 5, 2012

FIRST AMERICAN CAPITAL AND TRADING CORPORATION

RIA
CRD#: 118812
BOCA RATON, FL
Past

August 6, 2007 - July 29, 2014

FIRST AMERICAN CAPITAL AND TRADING CORPORATION

BD
CRD#: 118812
BOCA RATON, FL
Past

November 8, 2006 - July 25, 2007

1ST DISCOUNT BROKERAGE, INC.

RIA
CRD#: 39164
WEST PALM BEACH, FL
Past

August 26, 1999 - July 25, 2007

1ST DISCOUNT BROKERAGE, INC.

BD
CRD#: 39164
WEST PALM BEACH, FL
Past

August 3, 1999 - August 26, 1999

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

November 21, 1996 - August 19, 1999

WALL STREET MONEY CENTER CORP.

BD
CRD#: 21788
BOCA RATON, FL

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
Florida
(11/13/2013)
RR
New York
(4/17/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/6/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/1/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative 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 7
Date: 11/20/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/27/1999
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/2/1997
Registered Options 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#: 45993Boca Raton, FL 33431

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