Brandon M. Rolfes

STONEX FINANCIAL

Winter Park, FL 32789

Some features on this profile are disabled

CRD#: 6032482

Professional summary

Brandon Michael Rolfes, who also goes by Brandon Michael Rolfes, Brandon Rolfes, is a registered financial professional currently at STONEX FINANCIAL INC. located in Winter Park, Florida.

Brandon is registered as a RR (Registered Representative) and started their career in finance in 2012. Brandon has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brandon Michael Rolfes | Brandon Rolfes

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 Brandon Michael Rolfes'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

September 12, 2023 - Present

STONEX FINANCIAL INC.

Office #1: 329 Park Avenue North Suite 350, Winter Park, FL 32789

CRD#: 45993

Winter Park, FL

Past

May 23, 2019 - June 26, 2023

CITADEL SECURITIES INSTITUTIONAL LLC

CRD#: 281102

Chicago, IL

Past

February 14, 2018 - June 26, 2023

CITADEL SECURITIES LLC

CRD#: 116797

CHICAGO, IL

Past

October 11, 2016 - June 13, 2017

ARXIS SECURITIES LLC

CRD#: 172506

NEW YORK, NY

Past

June 20, 2012 - August 18, 2016

CITI ORDER ROUTING AND EXECUTION, LLC

CRD#: 103768

MT. PLEASANT, SC

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

Florida
(9/12/2023)

New York
(9/12/2023)

Exams

State Security Law Exam

Series 63

Date: 7/12/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 8/2/2012

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/19/2012

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

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.

Similar Advisors

Brennan Fontana

LIDO

IAR

San Diego, CA

Daniel Braddock

ALMEGA WEALTH MANAGEMENT

IAR

Raliegh, NC

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brandon M. Rolfes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brandon Michael Rolfes's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITADEL SECURITIES INSTITUTIONAL LLC

CITADEL SECURITIES LLC

ARXIS SECURITIES LLC

CITI ORDER ROUTING AND EXECUTION, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/12/2012

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 8/2/2012

Series 7

Date: 6/19/2012

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

Similar Advisors