Brian K. Stafford

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CRD#: 2073400

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.

Brian Keith Stafford, CFP®, who also goes by Brian K Stafford, Brian Keith Stafford, Brian Stafford, was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1990. Brian had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brian K Stafford | Brian Keith Stafford | Brian Stafford

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.

Self employed as a contractor/consultant, non investment related, P.O. 451 Awendaw SC USA 29429, since May 2018, 10-15 hours per month, the minimum time during trading hours, duties vary depending on the type of engagement as well as its depth and scope.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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: 2002

Experience

Past

April 25, 2024 - March 4, 2025

ERNST & YOUNG INVESTMENT ADVISERS LLP

RIA

CRD#: 110921

Greenville, SC

Past

July 1, 2014 - May 14, 2018

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

Charlotte, NC

Past

March 19, 2014 - May 14, 2018

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA

CRD#: 453

Charlotte, NC

Past

January 28, 2009 - May 15, 2009

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CHARLOTTE, NC

Past

January 26, 2009 - May 15, 2009

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

CHARLOTTE, NC

Past

July 2, 2004 - December 31, 2008

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

CHARLESTON, SC

Past

July 2, 2004 - December 31, 2008

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CHARLESTON, SC

Past

June 10, 1999 - May 19, 2004

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

MT. PLEASANT, SC

Past

May 17, 1999 - May 19, 2004

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430

RALEIGH, NC

Past

January 27, 1993 - May 19, 1999

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

August 22, 1990 - January 28, 1993

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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".

ERNST & YOUNG INVESTMENT ADVISERS LLP

ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA

Registered Investment Advisory firm - (4/7/1995 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 12/5/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/7/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 5/14/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/1/2014

General Securities Representative Examination

Current Firm

ERNST & YOUNG INVESTMENT ADVISERS LLP

ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA

Registered Investment Advisory firm - (4/7/1995 Approved)

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Contact information

Main Address

200 Plaza Drive First Floor Suite 102, Secaucus, NJ 07094

Mailing Address

Phone number

(800) 273-0588

Established

Firm type

Fiscal year end

# of Employees

140

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ERNST & YOUNG INVESTMENT ADVISERS LLP (9/10/2025)

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

Brian K. Stafford

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J.J.B. HILLIARD, W.L. LYONS, LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST UNION BROKERAGE SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

ERNST & YOUNG INVESTMENT ADVISERS LLP

State Registrations and Notice Filings

Exams

Series 63

Date: 12/5/2014

Series 65

Date: 5/7/1996

SIE

Date: 5/14/2018

Series 7

Date: 7/1/2014

Current Firm

ERNST & YOUNG INVESTMENT ADVISERS LLP

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

ERNST & YOUNG INVESTMENT ADVISERS LLP

TRUST BUT VERIFY

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