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Steven Howard Carolus

Stonex Financial Inc.

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About Steven Howard Carolus

Steven Carolus has been in the financial industry since March 20, 1989. Currently, Steven is a Registered Representative with Stonex Financial Inc. Steven has passed the Series 7, Series 24, Series 55 and Series 57TO exams and has been registered in the state of Florida since January 12, 2015. Previously, Steven has held positions at Citadel Securities LLC, E*TRADE Capital Markets LLC, GMST World Markets, Inc., International Assets Advisory Corporation, Chatfield Dean & Co., Inc. and The Stuart-James Company, Incorporated.

Firm Information

Steven Carolus is currently registered with Stonex Financial Inc.. Stonex Financial Inc. is a Corporation that was formed on May 29, 1998 and is registered in 53 states and the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

374

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Steven Carolus’s Registration & Firm History

FL

10/15/2014 - Present

Stonex Financial Inc. (WINTER PARK FL)

FL

07/25/2012 - 08/28/2014

CITADEL SECURITIES LLC (MIAMI FL)

IL

11/20/2002 - 07/13/2012

E*TRADE CAPITAL MARKETS LLC (CHICAGO IL)

FL

12/21/2000 - 11/27/2002

GMST WORLD MARKETS, INC. (LAKE MARY FL)

FL

01/12/1999 - 12/20/2000

INTERNATIONAL ASSETS ADVISORY CORPORATION (ORLANDO FL)

CO

11/30/1990 - 10/08/1998

CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)

CO

10/19/1988 - 12/03/1990

THE STUART-JAMES COMPANY, INCORPORATED (DENVER CO)

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Licenses & Designations

BC

Issued 08/14/2007

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/04/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 10/15/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There is public disclosure for Steven Howard Carolus. Review regulatory record here.
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