SB
Stanley K. Bollinger
HARGER AND COMPANY
Baton Rouge, LA 70809
Some features on this profile are disabled
CRD#: 4734880
SB
Professional summary
Stanley Kent Bollinger is a registered financial professional currently at HARGER AND COMPANY, INC. located in Baton Rouge, Louisiana.
Stanley is registered as a RR (Registered Representative) and started their career in finance in 2003. Stanley has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Stanley Kent Bollinger's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 26, 2024 - Present
HARGER AND COMPANY, INC.
Office #1: 8048 One Calais Ave Suite D, Baton Rouge, LA 70809RIA
BD
CRD#: 10385
Baton Rouge, LA
Past
February 21, 2019 - May 7, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Alexandria, LA
Past
February 21, 2019 - May 7, 2024
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Alexandria, LA
Past
December 19, 2003 - March 5, 2019
LPL FINANCIAL LLC
RIA
CRD#: 6413
ALEXANDRIA, LA
Past
December 17, 2003 - March 5, 2019
LPL FINANCIAL LLC
BD
CRD#: 6413
ALEXANDRIA, LA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
HA
HARGER AND COMPANY, INC.
HARGER AND COMPANY, INC. | SUNSOUTH EQUITY CORPORATION | R.L. HARGER AND COMPANY, INC. | HARGER, APARICIO & CO., INC.
CRD#: 10385 / SEC#: 801-129739, 8-27287
RIA
Registered Investment Advisory firm - SEC (3/22/2024 Approved)Louisiana
Registered Investment Advisory firm - SEC (4/1/1996 Approved)Texas
Registered Investment Advisory firm - SEC (9/25/2002 Conditional Restricted)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arkansas(4/26/2024)
RR
Florida(4/26/2024)
RR
Georgia(9/26/2024)
RR
Indiana(4/26/2024)
RR
Kentucky(1/7/2025)
RR
Louisiana(4/26/2024)
RR
Oregon(5/15/2024)
RR
Texas(4/26/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HA
HARGER AND COMPANY, INC.
HARGER AND COMPANY, INC. | SUNSOUTH EQUITY CORPORATION | R.L. HARGER AND COMPANY, INC. | HARGER, APARICIO & CO., INC.
CRD#: 10385 / SEC#: 801-129739, 8-27287
RIA
Registered Investment Advisory firm - SEC (3/22/2024 Approved)Louisiana
Registered Investment Advisory firm - SEC (4/1/1996 Approved)Texas
Registered Investment Advisory firm - SEC (9/25/2002 Conditional Restricted)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
8048 One Calais Ave Suite D Suite D, Baton Rouge, LA 70809
Mailing Address
8048 One Calais Ave Suite D, Baton Rouge, LA 70809
Phone number
(225) 767-7228
Established
Louisiana since 01/01/1981
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
3
SEC notice filing (2 States and Territories)
FINRA licenses (20 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 427 |
| AUM (Assets Under Management) | $ 123,253,006 |
Disclosures
| Regulatory Event | 1 |
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.
Company Information
HARGER AND COMPANY, INC.
CRD#: 10385Baton Rouge, LA 70809TRUST BUT VERIFY
Monitor Stanley Bollinger
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
