Harold G. Stafford
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Harold Glenn Stafford JR, who also goes by Glenn Stafford, Harold Glenn Stafford, was a registered financial professional .
Harold is a previously registered financial professional and started their career in finance in 1983. Harold had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2014 - August 2, 2017
VANDERBILT SECURITIES, LLC
October 23, 2002 - May 8, 2014
MAXIM GROUP LLC
October 29, 1999 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
October 19, 1998 - October 29, 1999
ROYCE INVESTMENT GROUP, INC.
December 9, 1994 - November 2, 1998
PATTERSON TRAVIS, INC.
August 5, 1994 - November 1, 1994
WESTFIELD FINANCIAL CORPORATION
May 24, 1988 - September 7, 1994
HIBBARD BROWN & CO., INC.
February 2, 1987 - May 31, 1988
SHERWOOD CAPITAL, INC.
March 22, 1983 - January 31, 1987
FIRST JERSEY SECURITIES, 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
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
