Nolan L. Maxfield
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.
Nolan Legrande Maxfield, who also goes by Nolan Le Grande Maxfield, Nolan Legrand Maxfield, was a registered financial professional .
Nolan is a previously registered financial professional and started their career in finance in 1970. Nolan had worked at 11 firms and has passed the Series 63, Series 1 and Series 00 exams.
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 9, 2010
STONEX SECURITIES INC.
December 12, 2002 - August 17, 2009
EMMETT A LARKIN COMPANY, INC.
March 15, 2000 - October 23, 2002
TRADEWAY SECURITIES GROUP, INC.
August 4, 1995 - March 2, 2000
NETWORK CAPITAL CORPORATION
July 22, 1993 - July 31, 1995
WILSON-DAVIS & CO., INC.
March 22, 1988 - July 26, 1993
WASATCH STOCK TRADING, INC.
September 17, 1986 - February 13, 1988
MAIN STREET SECURITIES, INC.
September 17, 1984 - September 16, 1986
LEHMAN BROTHERS INC.
May 9, 1973 - September 21, 1984
COVEY & CO., INC.
August 2, 1972 - July 12, 1973
GARY L. JONES AND ASSOCIATES
September 20, 1971 - April 8, 1974
EQUIDYNE
August 27, 1970 - October 23, 1971
COVEY & CO., 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
Series 1
Date: 8/21/1970
Registered Representative ExaminationSeries 00
Date: 12/15/1972
General Securities Principal ExaminationCurrent 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.
