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Robert S. Evans

Some features on this profile are disabled
CRD#: 712252
RE

Professional summary

Robert Stewart Evans was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Robert had worked at 8 firms, which includes STONEX SECURITIES INC., STERNE AGEE & LEACH INC., MORGAN STANLEY DW INC., J.C. BRADFORD & CO., WACHOVIA SECURITIES INC., JOHNSON LANE SPACE SMITH & CO. INC., THE ROBINSON-HUMPHREY COMPANY LLC, FIRST UNION CAPITAL MARKETS CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Evans

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 18, 2003 - August 5, 2005

STONEX SECURITIES INC.

BD
CRD#: 18456
BIRMINGHAM, AL
Past

March 5, 1996 - November 25, 2003

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BIRMINGHAM, AL
Past

March 1, 1994 - February 26, 1996

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

September 25, 1989 - February 21, 1994

J.C. BRADFORD & CO.

BD
CRD#: 1287
NEW YORK, NY
Past

October 14, 1988 - October 4, 1989

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC
Past

November 12, 1986 - October 14, 1988

JOHNSON, LANE, SPACE, SMITH & CO., INC.

BD
CRD#: 472
Past

March 19, 1982 - November 20, 1986

THE ROBINSON-HUMPHREY COMPANY, LLC

BD
CRD#: 723
Past

July 24, 1980 - March 25, 1982

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/1/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 8/4/1982
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 7/19/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 7/6/1982
General Securities Sales Supervisor Examination (Options Module & General Module)

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.

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Company Information

STONEX SECURITIES INC.

CRD#: 18456

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