STANFORD INVESTMENT GROUP, INC.
CRD #10331 SEC #801-16773 MOUNTAIN VIEW, CA 650-941-1717
SEC Registered
Total AUM
$801.2M
Discretionary
$778.1M
Employees
16
Clients
26
Accounts
985
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Oct 6, 2016
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BARNEA, LISA MICHELLE | I | FIN/OP PRINCIPAL, CCO FOR I/A, SECRETARY, OPERATIONS MANAGER | NA | Control |
| BARNEA, LISA MICHELLE | I | OPERATIONS MANAGER & FIN OP | NA | |
| BELL, CAROLYN FAY | I | VICE PRESIDENT | NA | Control |
| GEE, ROBERT EDWARD | I | DIRECTOR | NA | Control |
| GEE, ROBERT EDWARD | I | DIRECTOR | NA | Control |
| GEE, ROBERT EDWARD | I | CHAIRMAN EMERITUS | NA | |
| GEE, ROBERT EDWARD | I | CHAIRMAN | NA | Control |
| GEE, ROBERT EDWARD | I | CHAIRMAN EMERITUS | NA | |
| GEE, ROBERT EDWARD | I | DIRECTOR | NA | Control |
| GEE, ROBERT EDWARD | I | DIRECTOR | NA | Control |
| GEE, ROBERT EDWARD | I | DIRECTOR | NA | Control |
| SIMMONDS, KATHERINE, ANN | I | WEALTH ADVISOR, PRINCIPAL | NA | |
| SIMMONDS, KATHERINE, ANN | I | WEALTH ADVISOR, PRINCIPAL | NA | |
| SIMMONDS, KATHERINE, ANN | I | WEALTH ADVISOR, PRINCIPAL | NA | |
| DIETZ, HELEN ANN | I | CEO, PRESIDENT, CHIEF COMPLIANCE OFFICER (CCO) | D | Control |
| DIETZ, HELEN ANN | I | CEO, PRESIDENT, CHIEF COMPLIANCE OFFICER (CCO) | D | Control |
| DIETZ, HELEN ANN | I | CEO, PRESIDENT, CHIEF COMPLIANCE OFFICER (CCO) | D | Control |
| DIETZ, HELEN ANN | I | CEO, PRESIDENT, CHIEF COMPLIANCE OFFICER (CCO) | D | Control |
| DIETZ, HELEN ANN | I | CEO, PRESIDENT, CHIEF COMPLIANCE OFFICER (CCO) | D | Control |
| DIETZ, HELEN ANN | I | CEO, PRESIDENT, CHIEF COMPLIANCE OFFICER (CCO) | D | Control |
| DIETZ, HELEN ANN | I | CEO, PRESIDENT, CHIEF COMPLIANCE OFFICER (CCO) | D | Control |
| DIETZ, HELEN ANN | I | CEO, PRESIDENT, CHIEF COMPLIANCE OFFICER (CCO) | D | Control |
| DIETZ, HELEN ANN | I | CEO, PRESIDENT, CHIEF COMPLIANCE OFFICER (CCO) | D | Control |
| DIETZ, HELEN, ANN | I | CEO, PRESIDENT | D | Control |
| DIETZ, HELEN, ANN | I | CEO, PRESIDENT | D | Control |
| DIETZ, HELEN, ANN | I | CEO, PRESIDENT | D | Control |
| BELL, CAROLYN FAY | I | VICE PRESIDENT | C | Control |
| BELL, CAROLYN FAY | I | VICE PRESIDENT | C | |
| DIETZ, HELEN ANN | I | PRESIDENT, CHIEF COMPLIANCE OFFICER (CCO) | C | Control |
| DIETZ, HELEN ANN | I | PRESIDENT | C | Control |
| FINSTHWAIT, DONALD MCKEAGE | I | VICE PRESIDENT | C | Control |
| KIRKPATRICK, JOHN DOWLING | I | DIRECTOR OF PORTFOLIO MANAGEMENT | B | |
| KIRKPATRICK, JOHN DOWLING | I | DIRECTOR OF PORTFOLIO MANAGEMENT | B | |
| KIRKPATRICK, JOHN DOWLING | I | DIRECTOR OF PORTFOLIO MANAGEMENT | B | |
| KIRKPATRICK, JOHN DOWLING | I | DIRECTOR, DIRECTOR OF PORTFOLIO MANAGEMENT | B | Control |
| KIRKPATRICK, JOHN DOWLING | I | DIRECTOR, DIRECTOR OF PORTFOLIO MANAGEMENT | B | Control |
| KIRKPATRICK, JOHN DOWLING | I | DIRECTOR OF PORTFOLIO MANAGEMENT | B | |
| KIRKPATRICK, JOHN DOWLING | I | DIRECTOR, DIRECTOR OF PORTFOLIO MANAGEMENT | B | Control |
| KIRKPATRICK, JOHN DOWLING | I | DIRECTOR, DIRECTOR OF PORTFOLIO MANAGEMENT | B | Control |
| KIRKPATRICK, JOHN DOWLING | I | DIRECTOR, DIRECTOR OF PORTFOLIO MANAGEMENT | B | Control |
| KIRKPATRICK, JOHN, DOWLING | I | VICE PRESIDENT, DIRECTOR OF PORTFOLIO MANAGEMENT | B | Control |
| KIRKPATRICK, JOHN, DOWLING | I | VICE PRESIDENT, DIRECTOR OF PORTFOLIO MANAGEMENT | B | Control |
| KIRKPATRICK, JOHN, DOWLING | I | VICE PRESIDENT, DIRECTOR OF PORTFOLIO MANAGEMENT | B | Control |
| BARNEA, LISA MICHELLE | I | CFO, FIN/OP PRINCIPAL, CCO FOR I/A | A | Control |
| BARNEA, LISA MICHELLE | I | CFO, FIN/OP PRINCIPAL, CCO FOR I/A | A | Control |
| BARNEA, LISA MICHELLE | I | CFO, FIN/OP PRINCIPAL, CCO FOR I/A | A | Control |
| BARNEA, LISA MICHELLE | I | CFO, FIN/OP PRINCIPAL, CCO FOR I/A | A | Control |
| BARNEA, LISA MICHELLE | I | CFO, FIN/OP PRINCIPAL, CCO FOR I/A | A | Control |
| BARNEA, LISA MICHELLE | I | CFO, FIN/OP PRINCIPAL, CCO FOR I/A | A | Control |
| BARNEA, LISA MICHELLE | I | CFO, FIN/OP PRINCIPAL, CCO FOR I/A | A | Control |
| BARNEA, LISA MICHELLE | I | CFO, FIN/OP PRINCIPAL, CCO FOR I/A | A | Control |
| BARNEA, LISA MICHELLE | I | CFO, FIN/OP PRINCIPAL, CCO FOR I/A | A | Control |
| BARNEA, LISA, MICHELLE | I | CFO AND CCO | A | Control |
| BARNEA, LISA, MICHELLE | I | CFO AND CCO | A | Control |
| BARNEA, LISA, MICHELLE | I | CFO AND CCO | A | Control |
| LAPSIWALA, NAYAN, P | I | WEALTH ADVISOR, PRINCIPAL | A | |
| LAPSIWALA, NAYAN, PRAFULCHANDRA | I | WEALTH ADVISOR, PRINCIPAL | A | |
| LAPSIWALA, NAYAN, PRAFULCHANDRA | I | WEALTH ADVISOR, PRINCIPAL | A | |
| PIERLUISSI, TALIA | I | WEALTH ADVISOR, PRINCIPAL | A | |
| PIERLUISSI, TALIA | I | WEALTH ADVISOR, PRINCIPAL | A | |
| PIERLUISSI, TALIA, S | I | WEALTH ADVISOR, PRINCIPAL | A |
Registrations
Federal
IA
Oct 6, 2016 REGISTERED
Notice Filings (2)
CA NY
Address
2570 W. EL CAMINO REALSUITE 520
MOUNTAIN VIEW, CA 94040
United States
Phone: 650-941-1717