Individual Firm
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JAMES BRIAN GAULD
CRD#: 2564155
IA
B
STONEX ADVISORS INC.CRD#: 174182 1 Perimeter Park S
Suite 400 S
Birmingham, AL 35243
Suite 400 S
Birmingham, AL 35243
STONEX SECURITIES INC.CRD#: 18456 1 Perimeter Park South
Suite 400 South
Birmingham, AL 35243
Suite 400 South
Birmingham, AL 35243
0
Disclosures
29
Years of Experience
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State Registrations
B
Alabama 12/1/2022
B
Tennessee 7/25/2024
IA
Alabama 12/1/2022
B
Texas 7/17/2024
B
Florida 4/10/2023
B
Utah 2/21/2025
SRO Registrations
B
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IA
Registered with this firm since 12/1/2022
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Registered with this firm since 12/1/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/07/2001 - 10/14/2022 | HOUSTON, TX | |
B | 10/28/1998 - 10/14/2022 | HOUSTON, TX | |
B | 02/14/1995 - 12/31/2001 | HOUSTON, TX |
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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.