STANFORD GROUP COMPANY
CRD #39285 SEC #801-50374 HOUSTON, TX 713-964-8300
SEC Registered Broker-Dealer
Total AUM
$258.4M
Discretionary
$250.3M
Employees
251
Clients
251
Accounts
940
Firm Details
- Organization Type
- Corporation
- State of Formation
- Texas
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Nov 11, 2005
- 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 |
|---|---|---|---|---|
| ABRAHAM, BIJOO | I | FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| ABRAHAM, BIJOO | I | FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| ABRAHAM, BIJOO | I | FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| ABRAHAM, BIJOO | I | FINANCIAL AND OPERATIONS PRINCIPAL | NA | Control |
| BATES, JANE ELLEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BATES, JANE ELLEN | I | COMPLIANCE OFFICER, INVESTMENT ADVISORY | NA | Control |
| BATES, JANE ELLEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BATES, JANE ELLEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BATES, JANE ELLEN | I | COMPLIANCE OFFICER, INVESTMENT ADVISORY | NA | |
| BATES, JANE ELLEN | I | COMPLIANCE OFFICER, INVESTMENT ADVISORY | NA | Control |
| BATES, JANE ELLEN | I | COMPLIANCE OFFICER, INVESTMENT ADVISORY | NA | Control |
| BATES, JANE ELLEN | I | COMPLIANCE OFFICER, INVESTMENT ADVISORY | NA | Control |
| BATES, JANE ELLEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BATES, JANE ELLEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BATES, JANE ELLEN | I | CHIEF COMPLIANCE OFFICER | NA | |
| BATES, JANE ELLEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BOGAR, DANIEL THOMAS | I | PRESIDENT | NA | Control |
| BOGAR, DANIEL THOMAS | I | PRESIDENT | NA | Control |
| BOGAR, DANIEL THOMAS | I | PRESIDENT | NA | Control |
| BOGAR, DANIEL THOMAS | I | PRESIDENT | NA | Control |
| BOGAR, DANIEL THOMAS | I | PRESIDENT | NA | Control |
| BOGAR, DANIEL THOMAS | I | PRESIDENT | NA | Control |
| BOGAR, DANIEL THOMAS | I | PRESIDENT | NA | Control |
| BOGAR, DANIEL THOMAS | I | PRESIDENT | NA | Control |
| BOGAR, DANIEL THOMAS | I | PRESIDENT | NA | Control |
| BOGAR, DANIEL THOMAS | I | PRESIDENT | NA | Control |
| BOGAR, DANIEL THOMAS | I | PRESIDENT | NA | Control |
| BOGAR, DANIEL THOMAS | I | PRESIDENT | NA | Control |
| BOGAR, DANIEL THOMAS | I | PRESIDENT | NA | Control |
| BRUNO, JOHN KENNETH | I | VP COMPLIANCE MANAGER, CROP | NA | |
| BRUNO, JOHN KENNETH | I | VP COMPLIANCE MANAGER, CROP | NA | |
| BRUNO, JOHN KENNETH | I | VP COMPLIANCE MANAGER, CROP | NA | |
| BRUNO, JOHN KENNETH | I | VP COMPLIANCE MANAGER, CROP | NA | |
| BRUNO, JOHN KENNETH | I | VP COMPLIANCE MANAGER, CROP | NA | |
| BRUNO, JOHN KENNETH | I | VP COMPLIANCE MANAGER, CROP | NA | |
| BRUNO, JOHN KENNETH | I | VP COMPLIANCE MANAGER, CROP | NA | |
| BRUNO, JOHN KENNETH | I | VP COMPLIANCE MANAGER, CROP | NA | |
| COMEAUX, JAY THOMAS | I | PRESIDENT | NA | Control |
| COMEAUX, JAY THOMAS | I | PRESIDENT | NA | Control |
| COMEAUX, JAY THOMAS | I | CO-PRESIDENT | NA | Control |
| COMEAUX, JAY THOMAS | I | CO-PRESIDENT | NA | Control |
| FRAM, FREDERICK GORDON | I | SENIOR DIRECTOR OF OPERATIONS | NA | Control |
| FRAM, FREDERICK GORDON | I | SENIOR DIRECTOR OF OPERATIONS | NA | Control |
| FRAM, FREDERICK GORDON | I | SENIOR DIRECTOR OF OPERATIONS | NA | Control |
| FRAM, FREDERICK GORDON | I | SENIOR DIRECTOR OF OPERATIONS | NA | Control |
| FRAM, FREDERICK GORDON | I | SENIOR DIRECTOR OF OPERATIONS | NA | Control |
| FRAM, FREDERICK GORDON | I | SENIOR DIRECTOR OF OPERATIONS | NA | Control |
| GLENN, ROBERT BRITT | I | EXECUTIVE VP/PRIVATE CLIENT SERVICES | NA | Control |
| GOTT, STEVE HOWELL | I | SENIOR COMPLIANCE ASSOCIATE, CROP | NA | |
| GOTT, STEVE HOWELL | I | SENIOR COMPLIANCE ASSOCIATE, CROP | NA | |
| GOTT, STEVE HOWELL | I | SENIOR COMPLIANCE ASSOCIATE, CROP | NA | |
| GOTT, STEVE HOWELL | I | SENIOR COMPLIANCE ASSOCIATE, CROP | NA | |
| GOTT, STEVE HOWELL | I | VICE PRESIDENT, CROP | NA | |
| GOTT, STEVE HOWELL | I | VICE PRESIDENT, CROP | NA | |
| GOTT, STEVE HOWELL | I | SENIOR COMPLIANCE ASSOCIATE, CROP | NA | |
| GOTT, STEVE HOWELL | I | SENIOR COMPLIANCE ASSOCIATE, CROP | NA | |
| GOTT, STEVE HOWELL | I | SENIOR COMPLIANCE ASSOCIATE, CROP | NA | |
| GOTT, STEVE HOWELL | I | SENIOR COMPLIANCE ASSOCIATE, CROP | NA | |
| GREEN, JASON TAYLOR | I | PRESIDENT, PRIVATE CLIENT GROUP | NA | Control |
| GREEN, JASON TAYLOR | I | PRESIDENT, PRIVATE CLIENT GROUP | NA | Control |
| GREEN, JASON TAYLOR | I | PRESIDENT, PRIVATE CLIENT GROUP | NA | Control |
| GREEN, JASON TAYLOR | I | PRESIDENT, PRIVATE CLIENT GROUP | NA | Control |
| GREEN, JASON TAYLOR | I | PRESIDENT, PRIVATE CLIENT GROUP | NA | Control |
| GREEN, JASON TAYLOR | I | PRESIDENT, PRIVATE CLIENT GROUP | NA | Control |
| GREEN, JASON TAYLOR | I | PRESIDENT, PRIVATE CLIENT GROUP | NA | Control |
| JALLANS, LESLIE BERNARD | I | SENIOR VICE PRESIDENT, SROP | NA | Control |
| JALLANS, LESLIE BERNARD | I | SENIOR VICE PRESIDENT, SROP | NA | Control |
| JANVEY, RALPH STEVEN | I | RECEIVER ONLY NOT CCO / CHIEF COMPLIANCE OFFICER | NA | Control |
| JANVEY, RALPH STEVEN | I | RECEIVER ONLY NOT CCO / CHIEF COMPLIANCE OFFICER | NA | Control |
| JANVEY, RALPH STEVEN | I | RECEIVER ONLY NOT CCO / CHIEF COMPLIANCE OFFICER | NA | Control |
| KOCH, KYLE MICHAEL | I | SENIOR VICE PRESIDENT | NA | Control |
| KOCH, KYLE MICHAEL | I | SENIOR VICE PRESIDENT | NA | Control |
| KOCH, KYLE MICHAEL | I | SENIOR VICE PRESIDENT, DIRECTOR OF INVESTMENT ADVISORY COMPLIANCE | NA | Control |
| KOCH, KYLE MICHAEL | I | DIRECTOR OF IA COMPLIANCE | NA | Control |
| POPPELL, RALPH EDWARD | I | SENIOR VICE PRESIDENT, COMPLIANCE DIRECTOR, SROP | NA | Control |
| POPPELL, RALPH EDWARD | I | SENIOR VICE PRESIDENT, COMPLIANCE DIRECTOR, SROP | NA | Control |
| POPPELL, RALPH EDWARD | I | SENIOR VICE PRESIDENT, COMPLIANCE DIRECTOR, SROP | NA | Control |
| POPPELL, RALPH EDWARD | I | SR. V.P., COMPLIANCE DIRECTOR, SROP | NA | Control |
| POPPELL, RALPH EDWARD | I | SENIOR VICE PRESIDENT, COMPLIANCE DIRECTOR, SROP | NA | Control |
| POPPELL, RALPH EDWARD | I | SENIOR VICE PRESIDENT, COMPLIANCE DIRECTOR, SROP | NA | Control |
| POPPELL, RALPH EDWARD | I | SENIOR VICE PRESIDENT, COMPLIANCE DIRECTOR, SROP | NA | Control |
| POPPELL, RALPH EDWARD | I | SENIOR VICE PRESIDENT | NA | Control |
| POPPELL, RALPH EDWARD | I | SENIOR VICE PRESIDENT | NA | Control |
| POPPELL, RALPH EDWARD | I | SENIOR VICE PRESIDENT, COMPLIANCE DIRECTOR, SROP | NA | Control |
| POPPELL, RALPH EDWARD | I | SENIOR VICE PRESIDENT, COMPLIANCE DIRECTOR, SROP | NA | Control |
| POPPELL, RALPH EDWARD | I | SENIOR VICE PRESIDENT, COMPLIANCE DIRECTOR, SROP | NA | Control |
| POPPELL, RALPH EDWARD | I | SENIOR VICE PRESIDENT, COMPLIANCE DIRECTOR, SROP | NA | Control |
| POPPELL, RALPH EDWARD | I | SENIOR VICE PRESIDENT, COMPLIANCE DIRECTOR, SROP | NA | Control |
| POPPELL, RALPH EDWARD | I | SR. V.P., COMPLIANCE DIRECTOR, SROP | NA | Control |
| POPPELL, RALPH EDWARD | I | SR. V.P., COMPLIANCE DIRECTOR, SROP | NA | Control |
| POPPELL, RALPH EDWARD | I | SR. V.P., COMPLIANCE DIRECTOR, SROP | NA | Control |
| RINCOHN, ALBERT JOHN | I | EXECUTIVE VICE PRESIDENT/CFO | NA | Control |
| RINCOHN, ALBERT JOHN | I | EXECUTIVE VICE PRESIDENT/CFO | NA | Control |
| RINCOHN, ALBERT JOHN | I | EXECUTIVE VICE PRESIDENT/CFO | NA | Control |
| RINCOHN, ALBERT JOHN | I | EXECUTIVE VICE PRESIDENT/CFO | NA | Control |
| RINCON, JUAN ALBERTO | I | EXECUTIVE VICE PRESIDENT/CFO | NA | Control |
| RINCON, JUAN ALBERTO | I | EXECUTIVE VICE PRESIDENT/CFO | NA | Control |
| RINCON, JUAN ALBERTO | I | EXECUTIVE VICE PRESIDENT/CFO | NA | Control |
| RINCON, JUAN ALBERTO | I | EXECUTIVE VICE PRESIDENT/CFO | NA | Control |
| RINCON, JUAN ALBERTO | I | EXECUTIVE VICE PRESIDENT/CFO | NA | Control |
| RINCON, JUAN ALBERTO | I | EXECUTIVE VICE PRESIDENT/CFO | NA | Control |
| RINCON, JUAN ALBERTO | I | EXECUTIVE VICE PRESIDENT/CFO | NA | Control |
| RINCON, JUAN ALBERTO | I | EXECUTIVE VICE PRESIDENT/CFO | NA | Control |
| RINCON, JUAN ALBERTO | I | EXECUTIVE VICE PRESIDENT/CFO | NA | Control |
| ROLLINS, EDDIE THOMAS | I | EXECUTIVE DIRECTOR, RETAIL | NA | Control |
| ROLLINS, EDDIE THOMAS | I | EXECUTIVE DIRECTOR, RETAIL | NA | Control |
| ROLLINS, EDDIE THOMAS | I | EXECUTIVE DIRECTOR, RETAIL | NA | Control |
| ROLLINS, EDDIE THOMAS | I | EXECUTIVE DIRECTOR, RETAIL | NA | Control |
| ROLLINS, EDDIE THOMAS | I | EXECUTIVE DIRECTOR, RETAIL | NA | Control |
| ROLLINS, EDDIE THOMAS | I | EXECUTIVE DIRECTOR, RETAIL | NA | Control |
| STEIN, RONALD MARK | I | EXECUTIVE DIRECTOR, INSTITUTIONAL | NA | Control |
| STEIN, RONALD MARK | I | EXECUTIVE DIRECTOR, INSTITUTIONAL | NA | Control |
| STEIN, RONALD MARK | I | EXECUTIVE DIRECTOR, INSTITUTIONAL | NA | Control |
| STEIN, RONALD MARK | I | EXECUTIVE DIRECTOR, INSTITUTIONAL | NA | Control |
| STEIN, RONALD MARK | I | EXECUTIVE DIRECTOR, INSTITUTIONAL | NA | Control |
| STEIN, RONALD MARK | I | EXECUTIVE DIRECTOR, INSTITUTIONAL | NA | Control |
| STEIN, RONALD MARK | I | EXECUTIVE DIRECTOR, INSTITUTIONAL | NA | Control |
| STEIN, RONALD MARK | I | EXECUTIVE DIRECTOR, INSTITUTIONAL | NA | Control |
| STEIN, RONALD MARK | I | EXECUTIVE DIRECTOR, INSTITUTIONAL | NA | Control |
| STEIN, RONALD MARK | I | EXECUTIVE DIRECTOR, INSTITUTIONAL | NA | Control |
| STEIN, RONALD MARK | I | EXECUTIVE DIRECTOR, INSTITUTIONAL | NA | Control |
| STEIN, RONALD MARK | I | EXECUTIVE DIRECTOR, INSTITUTIONAL | NA | Control |
| STEIN, RONALD MARK | I | EXECUTIVE DIRECTOR, INSTITUTIONAL | NA | Control |
| STINSON, LENA MARIE | I | EXECUTIVE V.P., COO | NA | Control |
| STINSON, LENA MARIE | I | EXECUTIVE V.P., COO | NA | Control |
| STINSON, LENA MARIE | I | EXECUTIVE V.P., COO | NA | Control |
| STINSON, LENA MARIE | I | EXECUTIVE V.P., COO | NA | Control |
| TRULLENQUE, ALVARO | I | CO-PRESIDENT | NA | Control |
| TRULLENQUE, ALVARO | I | CO-PRESIDENT | NA | Control |
| YOUNG, BERNERD ELMER | I | MANAGING DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | Control |
| YOUNG, BERNERD ELMER | I | MANAGING DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | Control |
| YOUNG, BERNERD ELMER | I | MANAGING DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | Control |
| YOUNG, BERNERD ELMER | I | MANAGING DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | Control |
| YOUNG, BERNERD ELMER | I | MANAGING DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | Control |
| YOUNG, BERNERD ELMER | I | MANAGING DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | Control |
| YOUNG, BERNERD ELMER | I | MANAGING DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | Control |
| YOUNG, BERNERD ELMER | I | MANAGING DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | Control |
| YOUNG, BERNERD ELMER | I | MANAGING DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | Control |
| YOUNG, BERNERD ELMER | I | MANAGING DIRECTOR OF COMPLIANCE/CHIEF COMPLIANCE OFFICER | NA | Control |
| STANFORD GROUP HOLDINGS INC. | DE | OWNER | E | Control |
| STANFORD GROUP HOLDINGS INC. | DE | OWNER | E | Control |
| STANFORD GROUP HOLDINGS INC. | DE | OWNER | E | Control |
| STANFORD GROUP HOLDINGS INC. | DE | OWNER | E | Control |
| STANFORD GROUP HOLDINGS INC. | DE | OWNER | E | Control |
| STANFORD GROUP HOLDINGS INC. | DE | OWNER | E | Control |
| STANFORD GROUP HOLDINGS INC. | DE | OWNER | E | Control |
| STANFORD GROUP HOLDINGS INC. | DE | OWNER | E | Control |
| STANFORD GROUP HOLDINGS INC. | DE | OWNER | E | Control |
| STANFORD GROUP HOLDINGS INC. | DE | OWNER | E | Control |
| STANFORD GROUP HOLDINGS INC. | DE | OWNER | E | Control |
| STANFORD GROUP HOLDINGS INC. | DE | OWNER | E | Control |
| STANFORD GROUP HOLDINGS INC. | DE | OWNER | E | Control |
| STANFORD GROUP HOLDINGS INC. | DE | OWNER | E | Control |
| STANFORD GROUP HOLDINGS INC. | DE | OWNER | E | Control |
| STANFORD GROUP HOLDINGS INC. | DE | OWNER | E | Control |
| STANFORD GROUP HOLDINGS INC. | DE | OWNER | E | Control |
| STANFORD GROUP HOLDINGS INC. | DE | OWNER | E | Control |
| STANFORD GROUP HOLDINGS INC. | DE | OWNER | E | Control |
| STANFORD GROUP HOLDINGS INC. | DE | OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| STANFORD, ROBERT ALLEN | I | STANFORD GROUP HOLDINGS INC. | E | Control |
| STANFORD, ROBERT ALLEN | I | STANFORD GROUP HOLDINGS INC. | E | Control |
| STANFORD, ROBERT ALLEN | I | STANFORD GROUP HOLDINGS INC. | E | Control |
| STANFORD, ROBERT ALLEN | I | STANFORD GROUP HOLDINGS INC. | E | Control |
| STANFORD, ROBERT ALLEN | I | STANFORD GROUP HOLDINGS INC. | E | Control |
| STANFORD, ROBERT ALLEN | I | STANFORD GROUP HOLDINGS INC. | E | Control |
| STANFORD, ROBERT ALLEN | I | STANFORD GROUP HOLDINGS INC. | E | Control |
| STANFORD, ROBERT ALLEN | I | STANFORD GROUP HOLDINGS INC. | E | Control |
| STANFORD, ROBERT ALLEN | I | STANFORD GROUP HOLDINGS INC. | E | Control |
| STANFORD, ROBERT ALLEN | I | STANFORD GROUP HOLDINGS INC. | E | Control |
| STANFORD, ROBERT ALLEN | I | STANFORD GROUP HOLDINGS INC. | E | Control |
| STANFORD, ROBERT ALLEN | I | STANFORD GROUP HOLDINGS INC. | E | Control |
| STANFORD, ROBERT ALLEN | I | STANFORD GROUP HOLDINGS INC. | E | Control |
| STANFORD, ROBERT ALLEN | I | STANFORD GROUP HOLDINGS INC. | E | Control |
| STANFORD, ROBERT ALLEN | I | STANFORD GROUP HOLDINGS INC. | E | Control |
| STANFORD, ROBERT ALLEN | I | STANFORD GROUP HOLDINGS INC. | E | Control |
| STANFORD, ROBERT ALLEN | I | STANFORD GROUP HOLDINGS INC. | E | Control |
| STANFORD, ROBERT ALLEN | I | STANFORD GROUP HOLDINGS INC. | E | Control |
| STANFORD, ROBERT ALLEN | I | STANFORD GROUP HOLDINGS INC. | E | Control |
| STANFORD, ROBERT ALLEN | I | STANFORD GROUP HOLDINGS INC. | E | Control |
Registrations
Federal
IA
Nov 11, 2005 REGISTERED
Notice Filings (49)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK PA PR RI SC SD TN TX UT VA VT WA WI WV
Address
5050 WESTHEIMERHOUSTON, TX 77056
USA
Phone: 713-964-8300