Richard S. Stanfield
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 Samuel Stanfield JR was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1972. Richard had worked at 4 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 1998 - December 31, 2023
MPM WEALTH ADVISORS
June 3, 1992 - December 16, 1998
MONY SECURITIES CORPORATION
October 26, 1988 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
October 26, 1988 - May 16, 1991
MONY SECURITIES CORPORATION
July 24, 1987 - October 4, 1988
PRINCIPAL SECURITIES, INC.
March 16, 1972 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
March 16, 1972 - May 16, 1991
MONY SECURITIES CORPORATION
Primary Firm SEC Registration
MPM WEALTH ADVISORS
CRD#: 104926 / SEC#: 801-50488
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 1
Date: 3/11/1972
Registered Representative ExaminationCurrent Firm
MPM WEALTH ADVISORS
CRD#: 104926 / SEC#: 801-50488
Contact information
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,435 |
| AUM (Assets Under Management) | $ 888,866,554 |
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.
