Howard O. Graham
Professional summary
Howard Okeefe Graham was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Howard is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Howard had worked at 10 firms, which includes STONEX SECURITIES INC., STONEX ADVISORS INC., WELLS FARGO CLEARING SERVICES LLC, STIFEL NICOLAUS & COMPANY INCORPORATED, UBS FINANCIAL SERVICES INC., J.C. BRADFORD & CO., UNION PLANTERS BROKERAGE SERVICES INC., MCLARTY & COMPANY, PRUDENTIAL EQUITY GROUP LLC, E. F. HUTTON & COMPANY INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2023 - July 1, 2024
STONEX SECURITIES INC.
September 5, 2023 - July 1, 2024
STONEX ADVISORS INC.
April 30, 2015 - August 10, 2023
WELLS FARGO CLEARING SERVICES, LLC
April 30, 2015 - August 10, 2023
WELLS FARGO CLEARING SERVICES, LLC
September 17, 2002 - May 15, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
March 28, 2002 - May 15, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 22, 2000 - April 5, 2002
WELLS FARGO CLEARING SERVICES, LLC
August 14, 2000 - January 11, 2001
UBS FINANCIAL SERVICES INC.
August 8, 1994 - August 14, 2000
J.C. BRADFORD & CO.
April 4, 1991 - August 5, 1994
UNION PLANTERS BROKERAGE SERVICES INC.
February 22, 1985 - March 6, 1991
J.C. BRADFORD & CO.
December 10, 1982 - February 14, 1985
MCLARTY & COMPANY
March 5, 1982 - September 30, 1982
PRUDENTIAL EQUITY GROUP, LLC
November 30, 1981 - March 2, 1982
J.C. BRADFORD & CO.
October 23, 1980 - August 18, 1981
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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