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DW

Denise S. Windham

STONEX SECURITIES
Blairsville, GA 30512
Some features on this profile are disabled
CRD#: 862459
DW

Professional summary

Denise Sue Windham, CFP®, who also goes by Denise Sue Hilley, Denise Sue Rein, Denise Sue Rettstadt, Denise S Windham, is a registered financial professional currently at STONEX SECURITIES INC. located in Blairsville, Georgia.

Denise is registered as a RR (Registered Representative) and started their career in finance in 1979. Denise has worked at 5 firms and has passed the Series 63, SIE, Series 32, Series 7, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Denise Sue Hilley | Denise Sue Rein | Denise Sue Rettstadt | Denise S Windham

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 Denise Sue Windham'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®
CFP®

Certified Financial Planner

Start date: 1995

Experience

Current

October 8, 2009 - Present

STONEX SECURITIES INC.

Office #1: Core Capital Financial Services 102 S. Cleveland Street, Suite C, Blairsville, GA 30512
BD
CRD#: 18456
Blairsville, GA
Past

January 11, 2008 - September 18, 2009

HARBOUR INVESTMENTS, INC.

BD
CRD#: 19258
BLAIRSVILLE, GA
Past

April 3, 2003 - January 14, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
BLAIRSVILLE, GA
Past

November 2, 1998 - January 14, 2008

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
BLAIRSVILLE, GA
Past

October 31, 1989 - November 2, 1998

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

February 22, 1979 - November 8, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
Florida
(1/11/2010)
RR
Georgia
(5/17/2010)
RR
Kentucky
(2/6/2014)
RR
Michigan
(6/1/2010)
RR
New York
(1/4/2024)
RR
North Carolina
(1/6/2014)
RR
Ohio
(1/4/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 9/11/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 32
Date: 2/1/1979
Limited Futures Exam-Regulation
General Industry/Product Exam
RR
Series 7
Date: 1/20/1979
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 6/24/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/20/1999
General Securities Principal 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#: 18456Blairsville, GA 30512

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