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WN

William S. Nuckols

STONEX FINANCIAL
New York, NY 10169
Some features on this profile are disabled
CRD#: 4493445
WN

Professional summary

William Shepard Nuckols is a registered financial professional currently at STONEX FINANCIAL INC. located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 2002. William has worked at 11 firms and has passed the Series 63, Series 66, Series 57TO, Series 62, Series 3, SIE, Series 55, Series 7, Series 24 and Series 4 exams.

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 Shepard Nuckols'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

June 11, 2021 - Present

STONEX FINANCIAL INC.

Office #1: 230 Park Avenue 10th Floor, New York, NY, 10169
BD
CRD#: 45993
New York, NY
Past

April 21, 2022 - August 4, 2022

STONEX SECURITIES INC.

BD
CRD#: 18456
NEW YORK, NY
Past

July 12, 2016 - December 31, 2024

STONEX OUTSOURCED SERVICES LLC

BD
CRD#: 30773
NEW YORK, NY
Past

June 11, 2007 - July 18, 2016

INSTINET, LLC

BD
CRD#: 7897
NEW YORK, NY
Past

January 3, 2007 - June 6, 2007

EQUITEC NEW YORK, LLC

BD
CRD#: 141729
CHICAGO, IL
Past

February 22, 2005 - June 6, 2007

EQUITEC SPECIALISTS, LLC

BD
CRD#: 103917
CHICAGO, IL
Past

February 22, 2005 - June 6, 2007

EQUITEC PROPRIETARY MARKETS, LLC

BD
CRD#: 113728
CHICAGO, IL
Past

September 9, 2004 - December 6, 2004

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

October 21, 2003 - August 25, 2004

STOCKS 4 LESS, INC.

BD
CRD#: 42666
SHERMAN OAKS, CA
Past

September 3, 2003 - October 21, 2003

NATIONAL CLEARING CORP.

BD
CRD#: 14343
SHERMAN OAKS, CA
Past

September 30, 2002 - January 14, 2003

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

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
Connecticut
(12/13/2022)
RR
New York
(6/11/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 6/21/2007
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/11/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 5/22/2020
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 6/17/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/27/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/23/2017
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/14/2004
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/DIRECTOR/CEO SECURITIES4976402
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 Event76

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#: 45993New York, NY 10169

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