Guy R. Stamberger

STAMBERGER CAPITAL MANAGEMENT

Palm Beach Gardens, FL

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CRD#: 1161214

Professional summary

Guy Richard Stamberger is a registered financial advisor currently at STAMBERGER CAPITAL MANAGEMENT, LLC located in Palm Beach Gardens, Florida.

Guy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Guy has worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 8 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Guy Richard Stamberger's 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®

None

Experience

Current

January 13, 2015 - Present

STAMBERGER CAPITAL MANAGEMENT, LLC

RIA

CRD#: 149523

Palm Beach Gardens, FL

Past

March 24, 2009 - December 31, 2014

STAMBERGER CAPITAL MANAGEMENT, LLC

RIA

CRD#: 149523

MILLBURN, NJ

Past

July 30, 1990 - September 15, 1998

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

June 27, 1983 - February 29, 1984

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

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

New Jersey
(1/13/2015)

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: 10/21/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/13/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/28/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 9/2/1993

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Date: 6/5/1991

General Securities Principal Examination

Current Firm

STAMBERGER CAPITAL MANAGEMENT, LLC

CRD#: 149523 / SEC#: 801-69956

RIA

Registered Investment Advisory firm - (3/2/2012 Terminated)

New Jersey

Registered Investment Advisory firm - (1/13/2015 Approved)

New York

Registered Investment Advisory firm - (9/23/2013 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).

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Contact information

Main Address

Palm Beach Gardens, FL

Mailing Address

Phone number

(561) 570-1072

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	41
AUM (Assets Under Management)	$ 76,800,000

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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Guy R. Stamberger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Guy Richard Stamberger's CRS (Customer Relationship Summary).

Certified licenses

Experience

STAMBERGER CAPITAL MANAGEMENT, LLC

STAMBERGER CAPITAL MANAGEMENT, LLC

DEUTSCHE BANK SECURITIES INC.

KIDDER, PEABODY & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 10/21/1991

Series 63

Date: 9/13/1990

Series 7

Date: 7/28/1990

Series 8

Date: 9/2/1993

Series 24

Date: 6/5/1991

Current Firm

STAMBERGER CAPITAL MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STAMBERGER CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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