Kenneth S. James
Professional summary
Kenneth S James, who also goes by Kenneth Scott James, is a registered financial professional currently at STONEX FINANCIAL INC. located in Winter Park, Florida.
Kenneth is registered as a RR (Registered Representative) and started their career in finance in 2003. Kenneth has worked at 6 firms and has passed the Series 63, Series 87, Series 86, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kenneth S James's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 1, 2026 - Present
STONEX FINANCIAL INC.
Office #1: 329 Park Avenue North Suite 350, Winter Park, FL 32789July 10, 2026 - September 1, 2026
THE BENCHMARK COMPANY, LLC
June 8, 2015 - June 20, 2016
PIPER SANDLER & CO.
March 2, 2009 - April 23, 2015
STERNE, AGEE & LEACH, INC.
May 11, 2007 - February 25, 2009
ROBERT W. BAIRD & CO. INCORPORATED
July 14, 2003 - April 27, 2007
FTN EQUITY CAPITAL MARKETS CORP.
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
FINRA
Current Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR/CEO SECURITIES | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 76 |
Red Flags
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Company Information
STONEX FINANCIAL INC.
CRD#: 45993Winter Park, FL 32789TRUST BUT VERIFY
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