Apollo P. Pascual
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Apollo Paul Pascual, who also goes by A Paul Pascual, Paul Pascual, was a registered financial professional .
Apollo is a previously registered financial professional and started their career in finance in 1998. Apollo had worked at 10 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2019 - December 31, 2020
STONEX SECURITIES INC.
January 15, 2013 - December 23, 2019
QUEST CAPITAL STRATEGIES, INC.
July 14, 2011 - November 16, 2012
THE INVESTMENT CENTER, INC.
February 4, 2011 - July 26, 2011
CROWN CAPITAL SECURITIES, L.P.
July 26, 2010 - October 21, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 22, 2006 - February 27, 2009
CAPITAL BROKERAGE CORPORATION
October 5, 2001 - August 21, 2006
ALLIANZ LIFE FINANCIAL SERVICES, LLC
April 5, 2000 - September 12, 2001
PACIFIC SELECT DISTRIBUTORS, LLC
July 9, 1999 - April 10, 2000
WAMU INVESTMENTS, INC.
July 27, 1998 - June 2, 1999
SUNAMERICA SECURITIES, 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
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.
