Stanley S. Bae
Professional summary
Stanley Sangwon Bae was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stanley is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Stanley had worked at 5 firms, which includes RGT WEALTH ADVISORS, ROTH CAPITAL PARTNERS LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, CITIGROUP GLOBAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2014 - March 24, 2016
RGT WEALTH ADVISORS
April 30, 1999 - July 17, 2001
ROTH CAPITAL PARTNERS, LLC
December 13, 1996 - April 6, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 1, 1994 - December 17, 1996
PRUDENTIAL EQUITY GROUP, LLC
November 18, 1993 - November 3, 1994
CITIGROUP GLOBAL MARKETS INC.
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
Current Firm
RGT WEALTH ADVISORS
CRD#: 104953 / SEC#: 801-27090
Contact information
Regulatory assets under management
| Total Number of Accounts | 4,575 |
| AUM (Assets Under Management) | $ 5,751,140,026 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/21/2022 | ||
| 03/16/2022 |
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.
