Richard C. Stainsby

WEALTHSTAR ADVISORS

Plano, TX 75023

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CRD#: 1107512

Professional summary

Richard Charles Stainsby, CFP®, who also goes by Richard Stainsby, Rick Stainsby, is a registered financial advisor currently at WEALTHSTAR ADVISORS, LLC located in Plano, Texas.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Richard has worked at 23 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24, Series 39 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard Stainsby | Rick Stainsby

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.

1. DBA-UPSTREAM INVESTMENT PARTNERS 2. AS AN INDEPENDENTLY LICENSED INSURANCE AGENT, I AM APPOINTED WITH VARIOUS INSURANCE COMPANIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Charles Stainsby'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: 1988

Experience

Current

July 16, 2021 - Present

WEALTHSTAR ADVISORS, LLC

Office #1: 305b W Spring Creek Pkwy Suite 400, Plano, TX 75023

RIA

CRD#: 164957

Plano, TX

Past

March 16, 2018 - July 16, 2021

SPC

RIA

CRD#: 110692

Plano, TX

Past

March 16, 2018 - July 16, 2021

SIGMA FINANCIAL CORPORATION

CRD#: 14303

Plano, TX

Past

November 9, 2012 - March 19, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

PLANO, TX

Past

November 9, 2012 - March 19, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

PLANO, TX

Past

May 13, 2004 - November 20, 2012

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

DALLAS, TX

Past

November 6, 2002 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

November 6, 2002 - November 20, 2012

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

DALLAS, TX

Past

January 23, 2002 - November 12, 2002

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

December 1, 2001 - January 24, 2002

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

WESTPORT, CT

Past

August 31, 2001 - December 1, 2001

MERIT CAPITAL ASSOCIATES, INC.

CRD#: 30576

WESTPORT, CT

Past

May 30, 2000 - September 6, 2001

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

FAIRFIELD, IA

Past

December 1, 1999 - June 1, 2000

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

May 27, 1999 - January 4, 2000

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

May 5, 1999 - May 27, 1999

FIFTH THIRD SECURITIES, INC.

CRD#: 628

Past

May 8, 1998 - May 11, 1999

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

March 6, 1996 - August 20, 1996

COMERICA SECURITIES

CRD#: 17079

DETROIT, MI

Past

August 9, 1993 - September 20, 1994

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

January 28, 1988 - December 21, 1989

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

July 28, 1987 - January 16, 1988

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

August 19, 1986 - June 27, 1987

B.C. CHRISTOPHER SECURITIES CO.

CRD#: 60

Past

April 1, 1986 - July 31, 1986

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Past

February 14, 1986 - April 4, 1986

SECURITIES NETWORK, INC.

CRD#: 8671

Past

December 20, 1984 - February 13, 1986

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Past

July 19, 1983 - November 2, 1984

G. R. PHELPS & CO., INC.

CRD#: 173

Past

April 19, 1983 - July 8, 1983

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEALTHSTAR ADVISORS, LLC

PROSPERITY RETIREMENT GROUP | WEALTHSTAR ADVISORS, LLC | RCS-CFP

CRD#: 164957 / SEC#: 801-79121

RIA

Registered Investment Advisory firm - (2/3/2014 Approved)

Kansas

Registered Investment Advisory firm - (2/4/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/4/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Louisiana
(4/30/2025)

IAR

Ohio
(3/26/2025)

IAR

Texas
(7/16/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/16/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/9/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/29/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/6/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/22/1999

General Securities Principal Examination

Principal/Supervisory Exam

Series 39

Date: 5/1/1987

Direct Participation Programs Principal Examination

Principal/Supervisory Exam

Series 26

Date: 3/19/1987

Investment Company Products/Variable Contracts Principal Examination

Current Firm

WEALTHSTAR ADVISORS, LLC

PROSPERITY RETIREMENT GROUP | WEALTHSTAR ADVISORS, LLC | RCS-CFP

CRD#: 164957 / SEC#: 801-79121

RIA

Registered Investment Advisory firm - (2/3/2014 Approved)

Kansas

Registered Investment Advisory firm - (2/4/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/4/2014 Terminated)

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Contact information

Main Address

305b W Spring Creek Parkway Suite 400, Plano, TX 75023

Mailing Address

Phone number

(972) 372-2935

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEALTHSTAR ADVISORS_COMBINED ADV PART 2A/WRAP BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	2,571
AUM (Assets Under Management)	$ 791,461,816

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.

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Advisor Monitoring

Firm Stability Insights

Richard C. Stainsby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Charles Stainsby's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPC

SIGMA FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

LASALLE ST SECURITIES, L.L.C.

SOURCE CAPITAL GROUP, INC.

MERIT CAPITAL ASSOCIATES, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

SUNAMERICA SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

WELLS FARGO SECURITIES INC.

COMERICA SECURITIES

NORTHERN TRUST SECURITIES, INC.

NEW ENGLAND SECURITIES

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

B.C. CHRISTOPHER SECURITIES CO.

SOUTHMARK FINANCIAL SERVICES, INC.

SECURITIES NETWORK, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

G. R. PHELPS & CO., INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

Primary Firm SEC Registration

WEALTHSTAR ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/16/1998

Series 63

Date: 8/9/1993

SIE

Date: 10/1/2018

Series 7

Date: 5/29/1998

Series 6

Date: 8/6/1993

Series 24

Date: 11/22/1999

Series 39

Date: 5/1/1987

Series 26

Date: 3/19/1987

Current Firm

WEALTHSTAR ADVISORS, LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSTAR ADVISORS, LLC

TRUST BUT VERIFY

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