RS
Richard L. Stone
QUANTUM FINANCIAL ADVISORS
Rockville, MD 20850
Some features on this profile are disabled
CRD#: 1998277
RS
Professional summary
Richard Lee Stone, AIF® is a registered financial advisor currently at QUANTUM FINANCIAL ADVISORS INC located in Rockville, Maryland.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Richard has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 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.
INDEPENDENT INSURANCE AGENT; NOT INVESTMENT-RELATED; STARTED 08/1989; APPROXIMATELY 40 HOURS PER MONTH, ALL DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Lee Stone'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®
Experience
Current
May 9, 2025 - Present
QUANTUM FINANCIAL ADVISORS INC
Office #1: 51 Monroe Street Suite 1902, Rockville, MD 20850RIA
CRD#: 113563
Rockville, MD
Past
March 15, 2010 - May 19, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
GAITHERSBURG, MD
Past
September 8, 2009 - May 19, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
GAITHERSBURG, MD
Past
November 4, 1999 - September 8, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
GAITHERSBURG, MD
Past
November 8, 1989 - September 17, 1999
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
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".
QF
QUANTUM FINANCIAL ADVISORS INC
LIFETIME BENEFITS | QUANTUM FINANCIAL ADVISORS INC | QFA
CRD#: 113563 / SEC#: 801-125887
RIA
Registered Investment Advisory firm - (6/16/2022 Approved)California
Registered Investment Advisory firm - (1/1/2015 Terminated)Connecticut
Registered Investment Advisory firm - (7/25/2022 Terminated)District of Columbia
Registered Investment Advisory firm - (7/13/2022 Terminated)Florida
Registered Investment Advisory firm - (11/13/2018 Terminated)Georgia
Registered Investment Advisory firm - (12/18/2015 Terminated)Maryland
Registered Investment Advisory firm - (7/25/2022 Terminated)Nevada
Registered Investment Advisory firm - (8/15/2022 Terminated)New Jersey
Registered Investment Advisory firm - (12/3/2018 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/14/2022 Terminated)Virginia
Registered Investment Advisory firm - (7/16/2022 Terminated)Washington
Registered Investment Advisory firm - (12/10/2015 Terminated)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
Maryland(5/9/2025)
IAR
Virginia(5/14/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
QF
QUANTUM FINANCIAL ADVISORS INC
LIFETIME BENEFITS | QUANTUM FINANCIAL ADVISORS INC | QFA
CRD#: 113563 / SEC#: 801-125887
RIA
Registered Investment Advisory firm - (6/16/2022 Approved)California
Registered Investment Advisory firm - (1/1/2015 Terminated)Connecticut
Registered Investment Advisory firm - (7/25/2022 Terminated)District of Columbia
Registered Investment Advisory firm - (7/13/2022 Terminated)Florida
Registered Investment Advisory firm - (11/13/2018 Terminated)Georgia
Registered Investment Advisory firm - (12/18/2015 Terminated)Maryland
Registered Investment Advisory firm - (7/25/2022 Terminated)Nevada
Registered Investment Advisory firm - (8/15/2022 Terminated)New Jersey
Registered Investment Advisory firm - (12/3/2018 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/14/2022 Terminated)Virginia
Registered Investment Advisory firm - (7/16/2022 Terminated)Washington
Registered Investment Advisory firm - (12/10/2015 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
51 Monroe Street Suite 1902, Rockville, MD 20850
Mailing Address
325 Ellington Blvd #511, Gaithersburg, MD 20878
Phone number
(301) 296-6203
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 362 |
| AUM (Assets Under Management) | $ 507,079,299 |
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.
Company Information
QUANTUM FINANCIAL ADVISORS INC
CRD#: 113563Rockville, MD 20850TRUST BUT VERIFY
Monitor Richard Stone
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
