Individual Firm
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JACQUELINE NOVECK
JACQUELINE WROBEL
CRD#: 1243758
IA
B
STONEX ADVISORS INC.CRD#: 174182 Largo, FL
STONEX SECURITIES INC.CRD#: 18456 LARGO, FL
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1/26/2023
Judgment / Lien
State Registrations
B
Alabama 9/12/2014
IA
Florida 1/30/2015
B
Connecticut 9/12/2014
B
Texas 1/28/2016
B
Florida 9/12/2014
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/18/2007 - 01/30/2015 | LARGO, FL | |
B | 01/03/2007 - 09/12/2014 | LARGO, FL | |
IA | 01/01/2004 - 12/31/2006 | LARGO, FL | |
B | 01/01/2004 - 12/31/2006 | LARGO, FL | |
IA | 06/29/1998 - 01/01/2004 | LARGO, FL | |
B | 06/29/1998 - 01/01/2004 | HUDSON, OH | |
B | 12/05/1988 - 06/29/1998 | VALLEY FORGE, PA | |
B | 11/02/1987 - 12/03/1988 | EDISON, NJ | |
B | 03/29/1984 - 03/12/1985 |
For additional information about investment advisers or broker-dealers, please visit
B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.