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 advisor 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
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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
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