David C. Boland
Professional summary
David Carl Boland, who also goes by David Carl Boland, is a registered financial professional currently at STONEX FINANCIAL INC. located in Alpharetta, Georgia.
David is registered as a RR (Registered Representative) and started their career in finance in 2006. David has worked at 6 firms and has passed the Series 63, Series 3, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Carl Boland's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 4, 2024 - Present
STONEX FINANCIAL INC.
Office #1: 10000 Avalon Blvd, Suite 520, Alpharetta, GA 30009December 6, 2023 - April 24, 2024
T3 TRADING GROUP, LLC
August 10, 2021 - February 3, 2022
COWEN AND COMPANY
April 2, 2019 - February 10, 2022
COWEN PRIME SERVICES LLC
April 8, 2008 - March 15, 2019
FINTECH SECURITIES
October 11, 2006 - January 2, 2008
OPUS TRADING FUND 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
(12/13/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/11/2014
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
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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