UM
Uma S. Murthy
STONEX ADVISORS
FRANKFORT, IL
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CRD#: 4314740
UM
Professional summary
Uma S Murthy is a registered financial advisor currently at STONEX ADVISORS INC. located in Frankfort, Illinois and STONEX SECURITIES INC. located in Frankfort, Illinois.
Uma is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Uma has worked at 6 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 4, Series 28 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Uma S Murthy's 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®
NoneExperience
Current
December 6, 2019 - Present
STONEX ADVISORS INC.
RIA
CRD#: 174182
FRANKFORT, IL
Current
December 6, 2019 - Present
STONEX SECURITIES INC.
BD
CRD#: 18456
FRANKFORT, IL
Past
February 20, 2008 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
RIA
CRD#: 16783
FRANKFORT, IL
Past
February 4, 2004 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
June 27, 2003 - December 31, 2008
U-WIN INVESTMENTS INC.
RIA
CRD#: 124164
PALOS PARK, IL
Past
October 16, 2002 - January 20, 2004
PAN-AMERICAN FINANCIAL ADVISERS
BD
CRD#: 15578
NEW ORLEANS, LA
Past
January 31, 2001 - October 2, 2002
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
OAKBROOK, IL
Past
January 4, 2001 - October 2, 2002
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
November 27, 2000 - January 2, 2001
PAN-AMERICAN FINANCIAL ADVISERS
BD
CRD#: 15578
NEW ORLEANS, LA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SA
STONEX ADVISORS INC.
ABERDEEN FINANCIAL GROUP | WOYTOWICH WISLOSKI INVESTMENT GROUP | WOODEN INVESTMENTS | WINKLER HIZNAY & ASSOCIATES | WILLOWBY ADVISORS | WILLIAMS WEALTH MANAGEMENT | WEINBERG WEALTH MANAGEMENT | WEALTH MANAGEMENT SOLUTIONS | WAINWRIGHT LAVENTIS | WAHFELD WEALTH MANAGEMENT GROUP | TGI WEALTH MANAGEMENT | TEWKSBURY FINANCIAL LLC | SYNERGY WEALTH MANAGEMENT | STURM FINANCIAL SERVICES | STREET FINANICAL SERVICES | STRATEGIC FINANCIAL GROUP | STORMS AND ROWDON WEALTH MANAGEMENT | STONEX WEALTH MANAGEMENT | STONEX ADVISORS INC. | STONE FINANCIAL GROUP, LLC | STEVEN SMITH FINANCIAL | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | SPARGER INVESTMENTS | SMART MONEY STRATEGIES, INC. | SI FINANCIAL ADVISORS | SA STONE INVESTMENT ADVISORS INC. | SA STONE INVESTMENT ADVISORS | ROSENTHAL FINANCIAL SERVICES, LLC | RON COITE & ASSOCIATES | ROBERTS WEALTH MANAGEMENT | RKB INVESTMENTS | RJ TINE ASSOCIATES LLC | RJ INVESTMENT SOLUTIONS | RIVER FINANCIAL SERVICES | RICHMOND FINANCIAL LLC | REGENCY FINANICAL GROUP, LLC | REDSTONE FINANCIAL ADVISORS | QUIRK INVESTMENTS | QUARRY LAKES FINANCIAL GROUP | PARTNERS FINANCIAL GROUP, LLC | PARAMOUNT WEALTH MANAGEMENT LLC | ONE SOURCE FINANCIAL GROUP | OLDE HICKORY FINANCIAL SERVICES, LLC | OAK CREST FINANCIAL PARTNERS LLC | NUFRIO WEALTH MANAGEMENT | NOVECK AND NOVECK, LLC | NEBEL FINANCIAL | MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT | MORRIS SMITH WEALTH MANAGEMENT | MAX WEALTH MANAGEMENT | MANAGED LEGACY WEALTH COUNSEL | LIFESCOPE PLANNING AND INVESTMENT SERVICES | LG INVESTMENT SOLUTIONS, LLC | LEGACY INVESTMENT PLANNING | LANNIGAN SECURITIES | LANEY FINANCIAL | LANCE HOCUTT FINANCIAL GROUP | LAKE NORMAN ADVISORS LLC | KPJ FINANCIAL SERVICES | KLEMME FINANCIAL SERVICES | KEVIN DICK ASSET MANAGEMENT CO | KENNARD FINANCIAL SERVICES | KEITH FORD AND ASSOCIATES | KAIROS FINANCIAL MANAGEMENT | JUDSON SMITH WEALTH MANAGEMENT | INVESTMENT SECURITIES GROUP, INC. | INTEGRARISK CORP | INTEGRA FINANCIAL | IM WEALTH PARTNERS | HOVANIC WEALTH SOLUTIONS | HLM FINANCIAL SERVICES, INC. | HIZNAY & ASSOCIATES | HENRY WEALTH MANAGEMENT | HENDERSON FINANCIAL SERVICES | HEADWATER ASSET MANAGEMENT, LLC | HDA WEALTH MANAGEMENT LLC | HARADER FINANCIAL MANAGEMENT GROUP, LLC | GUARDIAN WEALTH FINANCIAL | GRUDZINSKI FINANCIAL SERVICES | GRANDVIEW WEALTH ADVISORS | GLS FINANCIAL CONSULTANTS, INC. | GEORGE STRATEGIC WEALTH | EMARK FINANCIAL | ELLEDGE, BAIN, SIDES, LLC | EAGLE CREEK WEALTH MANAGEMENT, LLC | DON LEDFORD ASSOCIATES, LLC | DILWORTH FINANCIAL SERVICES | DCP ASSET MANAGEMENT, LLC | CWT FINANCIAL | CRESS WEALTH STRATEGIES | COX FINANCIAL CORPORATION | CORLEY WEALTH MANAGEMENT | CONSERVATIVE CONCEPTS, INC. | COMPASS WEALTH MANAGEMENT, LLC | CHAD J. KARL | CAPITAL PLANNING ASSOCIATES | BUSSEY CAPITAL MANAGEMENT, LLC | BURLESON DAWKINS INC. | BLOOMING GLEN FINANCIAL | BAXTER ASSOCIATES, LLC | BARNEGAT FINANCIAL | BARKO FINANCIAL | AXIENT INVESTMENT ADVISORS, LLC | ATLAS PRIVATE WEALTH PARTNERS | AIM FINANCIAL FREEDOM | AFFILIATED FINANCIAL PLANNERS, LLC
CRD#: 174182 / SEC#: 801-80747
RIA
Registered Investment Advisory firm - (12/17/2014 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(12/6/2019)
RR
Illinois(12/6/2019)
IAR
Illinois(12/6/2019)
RR
Minnesota(12/6/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 8/21/2006
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SA
STONEX ADVISORS INC.
ABERDEEN FINANCIAL GROUP | WOYTOWICH WISLOSKI INVESTMENT GROUP | WOODEN INVESTMENTS | WINKLER HIZNAY & ASSOCIATES | WILLOWBY ADVISORS | WILLIAMS WEALTH MANAGEMENT | WEINBERG WEALTH MANAGEMENT | WEALTH MANAGEMENT SOLUTIONS | WAINWRIGHT LAVENTIS | WAHFELD WEALTH MANAGEMENT GROUP | TGI WEALTH MANAGEMENT | TEWKSBURY FINANCIAL LLC | SYNERGY WEALTH MANAGEMENT | STURM FINANCIAL SERVICES | STREET FINANICAL SERVICES | STRATEGIC FINANCIAL GROUP | STORMS AND ROWDON WEALTH MANAGEMENT | STONEX WEALTH MANAGEMENT | STONEX ADVISORS INC. | STONE FINANCIAL GROUP, LLC | STEVEN SMITH FINANCIAL | STERNE AGEE INVESTMENT ADVISOR SERVICES, INC. | SPARGER INVESTMENTS | SMART MONEY STRATEGIES, INC. | SI FINANCIAL ADVISORS | SA STONE INVESTMENT ADVISORS INC. | SA STONE INVESTMENT ADVISORS | ROSENTHAL FINANCIAL SERVICES, LLC | RON COITE & ASSOCIATES | ROBERTS WEALTH MANAGEMENT | RKB INVESTMENTS | RJ TINE ASSOCIATES LLC | RJ INVESTMENT SOLUTIONS | RIVER FINANCIAL SERVICES | RICHMOND FINANCIAL LLC | REGENCY FINANICAL GROUP, LLC | REDSTONE FINANCIAL ADVISORS | QUIRK INVESTMENTS | QUARRY LAKES FINANCIAL GROUP | PARTNERS FINANCIAL GROUP, LLC | PARAMOUNT WEALTH MANAGEMENT LLC | ONE SOURCE FINANCIAL GROUP | OLDE HICKORY FINANCIAL SERVICES, LLC | OAK CREST FINANCIAL PARTNERS LLC | NUFRIO WEALTH MANAGEMENT | NOVECK AND NOVECK, LLC | NEBEL FINANCIAL | MORRIS, SMITH & HAYDEN WEALTH MANAGEMENT | MORRIS SMITH WEALTH MANAGEMENT | MAX WEALTH MANAGEMENT | MANAGED LEGACY WEALTH COUNSEL | LIFESCOPE PLANNING AND INVESTMENT SERVICES | LG INVESTMENT SOLUTIONS, LLC | LEGACY INVESTMENT PLANNING | LANNIGAN SECURITIES | LANEY FINANCIAL | LANCE HOCUTT FINANCIAL GROUP | LAKE NORMAN ADVISORS LLC | KPJ FINANCIAL SERVICES | KLEMME FINANCIAL SERVICES | KEVIN DICK ASSET MANAGEMENT CO | KENNARD FINANCIAL SERVICES | KEITH FORD AND ASSOCIATES | KAIROS FINANCIAL MANAGEMENT | JUDSON SMITH WEALTH MANAGEMENT | INVESTMENT SECURITIES GROUP, INC. | INTEGRARISK CORP | INTEGRA FINANCIAL | IM WEALTH PARTNERS | HOVANIC WEALTH SOLUTIONS | HLM FINANCIAL SERVICES, INC. | HIZNAY & ASSOCIATES | HENRY WEALTH MANAGEMENT | HENDERSON FINANCIAL SERVICES | HEADWATER ASSET MANAGEMENT, LLC | HDA WEALTH MANAGEMENT LLC | HARADER FINANCIAL MANAGEMENT GROUP, LLC | GUARDIAN WEALTH FINANCIAL | GRUDZINSKI FINANCIAL SERVICES | GRANDVIEW WEALTH ADVISORS | GLS FINANCIAL CONSULTANTS, INC. | GEORGE STRATEGIC WEALTH | EMARK FINANCIAL | ELLEDGE, BAIN, SIDES, LLC | EAGLE CREEK WEALTH MANAGEMENT, LLC | DON LEDFORD ASSOCIATES, LLC | DILWORTH FINANCIAL SERVICES | DCP ASSET MANAGEMENT, LLC | CWT FINANCIAL | CRESS WEALTH STRATEGIES | COX FINANCIAL CORPORATION | CORLEY WEALTH MANAGEMENT | CONSERVATIVE CONCEPTS, INC. | COMPASS WEALTH MANAGEMENT, LLC | CHAD J. KARL | CAPITAL PLANNING ASSOCIATES | BUSSEY CAPITAL MANAGEMENT, LLC | BURLESON DAWKINS INC. | BLOOMING GLEN FINANCIAL | BAXTER ASSOCIATES, LLC | BARNEGAT FINANCIAL | BARKO FINANCIAL | AXIENT INVESTMENT ADVISORS, LLC | ATLAS PRIVATE WEALTH PARTNERS | AIM FINANCIAL FREEDOM | AFFILIATED FINANCIAL PLANNERS, LLC
CRD#: 174182 / SEC#: 801-80747
RIA
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Contact information
Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Mailing Address
Phone number
(800) 292-2411
Established
Firm type
Fiscal year end
# of Employees
220
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 15,487 |
| AUM (Assets Under Management) | $ 5,092,884,780 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2026 | ||
| 03/27/2025 | ||
| 02/27/2024 |
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.
