Richard J. Stainbrook

STAINBROOK ASSET MANAGEMENT LLC

Westerville, OH

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CRD#: 6950149

Professional summary

Richard John Stainbrook is a registered financial advisor currently at STAINBROOK ASSET MANAGEMENT LLC located in Westerville, Ohio.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Richard has worked at 1 firm and has passed the Series 65 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Stainbrook Capital LLC; Investment-related; 5555 Medallion Drive West; Westerville, OH 43082; Commodity Trading Advisor; Founder/CEO since 01/2018; trading futures contracts for clients

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard John Stainbrook'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®

None

Experience

Current

June 21, 2018 - Present

STAINBROOK ASSET MANAGEMENT LLC

RIA

CRD#: 294072

Westerville, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Ohio
(6/21/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/26/2017

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 3/10/2017

National Commodity Futures Examination

Current Firm

STAINBROOK ASSET MANAGEMENT LLC

STAINBROOK ASSET MANAGEMENT LLC | STAINBROOK CAPITAL, LLC

CRD#: 294072 / SEC#:

Ohio

Registered Investment Advisory firm - (6/21/2018 Approved)

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Contact information

Main Address

Westerville, OH

Mailing Address

Phone number

(614) 561-7499

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Richard J. Stainbrook

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard John Stainbrook's CRS (Customer Relationship Summary).

Certified licenses

Experience

STAINBROOK ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/26/2017

Series 3

Date: 3/10/2017

Current Firm

STAINBROOK ASSET MANAGEMENT LLC

Contact information

Documents

Red Flags

Company Information

STAINBROOK ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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