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Viola E. De Witt

STONEX SECURITIES
Birmingham, AL 35243
Some features on this profile are disabled
CRD#: 5447007
VD

Professional summary

Viola Elaine De Witt, who also goes by VIola Elaina De Witt, Viola Elaine De Witt, Viola Elaine Dewitt, is a registered financial professional currently at STONEX SECURITIES INC. located in Birmingham, Alabama.

Viola is registered as a RR (Registered Representative) and started their career in finance in 2008. Viola has worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 34, Series 3, Series 7, Series 53, Series 24 and Series 30 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Viola Elaina De Witt | Viola Elaine De Witt | Viola Elaine Dewitt

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 Viola Elaine De Witt'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 26, 2022 - Present

STONEX SECURITIES INC.

Office #1: 2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
BD
CRD#: 18456
Birmingham, AL
Past

August 26, 2022 - December 31, 2024

STONEX OUTSOURCED SERVICES LLC

BD
CRD#: 30773
PARK CITY, UT
Past

August 26, 2022 - September 17, 2025

STONEX FINANCIAL INC.

BD
CRD#: 45993
CHARLOTTE, NC
Past

November 20, 2017 - August 25, 2022

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

March 20, 2017 - June 30, 2017

INVESTACORP, INC.

BD
CRD#: 7684
MIAMI, FL
Past

November 12, 2008 - July 28, 2016

TRADESTATION SECURITIES, INC.

BD
CRD#: 39473
PLANTATION, FL

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
Alabama
(8/26/2022)
RR
North Carolina
(8/29/2022)
RR
South Carolina
(8/26/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 1/9/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 34
Date: 7/1/2011
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 6/19/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/11/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 7/12/2019
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/26/2013
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 30
Date: 6/27/2009
NFA Branch Manager Examination
SRO Registrations
RR
FINRA

Current Firm

SS
STONEX SECURITIES INC.
C G MATON FINANCIAL SERVICES , INC. | STONEX WEALTH MANAGEMENT | STONEX SECURITIES INC. | STERNE AGEE FINANCIAL SERVICES, INC. | SOUTHEAST NETWORK EQUITIES GROUP, INC. | SAL FINANCIAL SERVICES, INC. | SA STONE WEALTH MANAGEMENT INC. | INVESTECH CAPITAL CORPORATION | CAPITAL GROWTH MANAGEMENT INC.

CRD#: 18456 / SEC#: , 8-36638

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Mailing Address
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Phone number
(800) 292-2411
Established
Delaware since 01/22/2002
Firm type
Corporation
Fiscal year end
September
Firm Size
Medium
# of Employees

FINRA licenses (52 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.100% OWNER
BOLTE, DAVID ALBERTSECRETARY2711410
CARTER, JAY WILSONPRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR2412541
DAVISON, STUART ANDREWDIRECTOR7824576
DUNAWAY, WILLIAM JOHNDIRECTOR6505923
HUGO, MARK ERICPOO2177412
LYON, CHARLES MARTINDIRECTOR4000852
MAURER, MARK LDIRECTOR4234406
MCAUSLAN, JAMES BUCHANANDIRECTOR7658964
PARKER, BRIAN LANECHIEF COMPLIANCE OFFICER, ROSFP4635848
PORZIO, JOSEPH JOHNCFO / PFO / FINOP1319702
RICHARDSON, MARCUS BRYANTCHIEF OPERATING OFFICER3037932
SMITH, PHILIP ANDREWDIRECTOR, CHAIRMAN OF THE BOARD4999097

Disclosures

Regulatory Event9
Arbitration4

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 SECURITIES INC.

CRD#: 18456Birmingham, AL 35243

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