Michael N. Protopapas
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.
Michael N Protopapas, who also goes by Michael N. Protopapas, Michael Protopapas, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2001. Michael had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 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 - August 9, 2022
STONEX SECURITIES INC.
May 15, 2012 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
May 2, 2008 - May 11, 2012
ALLSTATE FINANCIAL SERVICES, LLC
October 17, 2006 - March 6, 2008
MSI FINANCIAL SERVICES, INC.
September 1, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
September 1, 2004 - March 6, 2008
MSI FINANCIAL SERVICES, INC.
July 11, 2003 - August 31, 2004
QUEST CAPITAL STRATEGIES, INC.
August 29, 2001 - June 19, 2003
USALLIANZ SECURITIES, INC.
April 27, 2001 - June 26, 2001
EQUITABLE ADVISORS, LLC
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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