Frank R. Stanford
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.
Frank Richard Stanford was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1970. Frank had worked at 4 firms and has passed the Series 63, Series 15 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 1999 - October 11, 2005
RIVERSTONE WEALTH MANAGEMENT, INC.
January 29, 1982 - March 8, 1999
A. G. EDWARDS & SONS, INC.
July 16, 1974 - February 3, 1982
INSTITUTIONAL EQUITY CORPORATION
November 16, 1970 - October 13, 1973
WEBER, HALL, SALE & ASSOCIATES, 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
Series 15
Date: 10/7/1985
Foreign Currency Options ExaminationSeries 1
Date: 11/5/1970
Registered Representative ExaminationCurrent Firm
RIVERSTONE WEALTH MANAGEMENT, INC.
CRD#: 40418 / SEC#: 801-63700, 8-49047
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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