Stephen P. Gavula

STONEX FINANCIAL

Boca Raton, FL 33431

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CRD#: 5070511

Professional summary

Stephen Paul Gavula III, who also goes by Stephen P Gavula III, Stephen Paul Gavula III, Stephen Paul Gavula, is a registered financial professional currently at STONEX FINANCIAL INC. located in Boca Raton, Florida.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2006. Stephen has worked at 4 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephen P Gavula Iii | Stephen Paul Gavula Iii | Stephen Paul Gavula

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 Stephen Paul Gavula III'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

August 2, 2021 - Present

STONEX FINANCIAL INC.

Office #1: 2600 North Military Trail Suite 100, Boca Raton, FL 33431

CRD#: 45993

Boca Raton, FL

Past

August 6, 2015 - July 26, 2021

TD SECURITIES (USA) LLC

CRD#: 18476

NEW YORK, NY

Past

November 1, 2006 - July 17, 2015

BNP PARIBAS SECURITIES CORP.

CRD#: 15794

NEW YORK, NY

Past

May 16, 2006 - November 7, 2006

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

District of Columbia
(8/2/2021)

Florida
(8/2/2021)

New York
(8/2/2021)

Exams

State Security Law Exam

Series 63

Date: 1/20/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/15/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/15/2006

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

STONEX FINANCIAL INC.

CRD#: 45993 / SEC#: , 8-51269

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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	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

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Stephen P. Gavula

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Paul Gavula III's CRS (Customer Relationship Summary).

Certified licenses

Experience

TD SECURITIES (USA) LLC

BNP PARIBAS SECURITIES CORP.

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/20/2007

SIE

Date: 10/1/2018

Series 3

Date: 7/15/2013

Series 7

Date: 5/15/2006

FINRA

Nasdaq Stock Market

Current Firm

STONEX FINANCIAL INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STONEX FINANCIAL INC.

TRUST BUT VERIFY

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