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Vinicius Raphael Alves

STONEX FINANCIAL
Miami, FL 33131
Some features on this profile are disabled
CRD#: 5969106
VR

Professional summary

Vinicius Raphael Alves, who also goes by VIni Alves, Vinicius Raphael Alves, Vinicius Alves, is a registered financial professional currently at STONEX FINANCIAL INC. located in Miami, Florida.

Vinicius is registered as a RR (Registered Representative) and started their career in finance in 2011. Vinicius has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Vini Alves | Vinicius Raphael Alves | Vinicius Alves

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 Vinicius Raphael Alves'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

December 11, 2012 - Present

STONEX FINANCIAL INC.

Office #1: 333 Se 2nd Ave 21st Floor, Miami, FL 33131
BD
CRD#: 45993
Miami, FL
Past

December 17, 2012 - January 31, 2013

TRADEWIRE SECURITIES LLC

BD
CRD#: 142348
CORAL GABLES, FL
Past

September 8, 2011 - December 17, 2012

TRADEWIRE SECURITIES LLC

BD
CRD#: 142348
CORAL GABLES, 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
California
(12/20/2022)
RR
Connecticut
(12/20/2022)
RR
Florida
(12/11/2012)
RR
Illinois
(1/3/2024)
RR
Missouri
(1/3/2024)
RR
New Jersey
(1/3/2024)
RR
New York
(6/16/2016)
RR
North Carolina
(12/20/2022)
RR
Texas
(1/3/2024)
RR
Washington
(1/3/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 6/15/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 3/13/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 55
Date: 9/28/2011
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 9/7/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/5/2013
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/21/2012
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/DIRECTOR4976402
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 Event75

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#: 45993Miami, FL 33131

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