Richard I. Stahl
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.
Richard Irwin Stahl, who also goes by Richard I Stahl, Richard Irwin Stahl II, Rick Stahl, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2015 - July 31, 2015
STRATEGIC ADVISERS LLC
April 1, 2015 - July 31, 2015
FIDELITY BROKERAGE SERVICES LLC
March 11, 2014 - February 13, 2015
CHIMERA SECURITIES, LLC
September 28, 2011 - June 13, 2013
QUAD CAPITAL, LLC
January 30, 2009 - March 1, 2011
FIRST NEW YORK SECURITIES L.L.C.
June 7, 2000 - July 7, 2009
BERNARD L. MADOFF INVESTMENT SECURITIES LLC
November 19, 1993 - March 10, 2000
CANTOR FITZGERALD SECURITIES
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
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
Series 55
Date: 7/17/2000
Limited Representative-Equity Trader ExamCurrent Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
