SR
Stanford J. Ricks
SUNDANCE BAY
Salt Lake City, UT 84106-2817
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CRD#: 732176
SR
Professional summary
Stanford Jay Ricks is a registered financial advisor currently at SUNDANCE BAY located in Salt Lake City, Utah.
Stanford is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Stanford has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 24 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Stanford Jay Ricks'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
May 25, 2021 - Present
SUNDANCE BAY
Office #1: 1240 East 2100 South, Suite 300, Salt Lake City, UT 84106-2817RIA
CRD#: 301868
Salt Lake City, UT
Past
May 1, 1985 - May 21, 1990
ASSOCIATED SECURITIES CORP.
BD
CRD#: 12969
Past
January 5, 1982 - May 16, 1985
LPL FINANCIAL LLC
BD
CRD#: 6413
Past
June 23, 1981 - October 17, 1983
SOUTHMARK FINANCIAL SERVICES, INC.
BD
CRD#: 6518
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".
SB
SUNDANCE BAY
SDP MANAGEMENT LLC | SUNDANCE BAY INVESTMENT MANAGER, LLC | SUNDANCE BAY
CRD#: 301868 / SEC#: 801-118520
RIA
Registered Investment Advisory firm - (4/23/2020 Approved)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
Utah(5/25/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SB
SUNDANCE BAY
SDP MANAGEMENT LLC | SUNDANCE BAY INVESTMENT MANAGER, LLC | SUNDANCE BAY
CRD#: 301868 / SEC#: 801-118520
RIA
Registered Investment Advisory firm - (4/23/2020 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1240 East 2100 South, Suite 300, Salt Lake City, UT 84106-2817
Mailing Address
Phone number
(801) 783-3430
Established
Firm type
Fiscal year end
# of Employees
70
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8 |
| AUM (Assets Under Management) | $ 2,115,951,038 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 3/25/2020 |
Red Flags
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Company Information
SUNDANCE BAY
CRD#: 301868Salt Lake City, UT 84106-2817TRUST BUT VERIFY
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