Unclaimed Profile

Carol Marshall Horace

STAFFORD CAPITAL MANAGEMENT LLC·SAN FRANCISCO, California

SIE, Series 7, Series 55, Series 63, Series 65Clean record16 years registeredSTAFFORD CAPITAL MANAGEMENT LLC

275 BATTERY STREET, SAN FRANCISCO, CA 94111CRD# 842252Firm CRD# 108134

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Carol Marshall Horace · SAN FRANCISCO, CA

Registration

CRD #842252 · STAFFORD CAPITAL MANAGEMENT LLC · 16 years registered

Brand Profile

Not yet started

Career History

STAFFORD CAPITAL MANAGEMENT LLC

Mar 2012 – present

POTOMAC RESEARCH GROUP

Jun 2010 – Dec 2011

LARKSPUR, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 55

Series 63

Series 65

Registration record

First registered · June 21, 2010

Years registered · 16

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

STAFFORD CAPITAL MANAGEMENT LLC

CRD 108134 · SEC 801-56846

AUM

$51M

Regulatory assets under management

Employees

40 client accounts

Services offered by STAFFORD CAPITAL MANAGEMENT LLC

Per Form ADV

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

View all advisors at STAFFORD CAPITAL MANAGEMENT LLC →

Introduction

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Frequently Asked Questions

What services does Carol Marshall Horace offer?

Carol Marshall Horace specializes in Investment Management, Fee-Only Advisory. Contact their office in SAN FRANCISCO, California for a consultation.

What are Carol Marshall Horace's credentials?

Carol Marshall Horace is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Carol Marshall Horace located?

Carol Marshall Horace is based in SAN FRANCISCO, California, working with STAFFORD CAPITAL MANAGEMENT LLC. Their office serves clients in the SAN FRANCISCO metropolitan area and surrounding communities.

How does Carol Marshall Horace charge for services?

Carol Marshall Horace's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is STAFFORD CAPITAL MANAGEMENT LLC?

STAFFORD CAPITAL MANAGEMENT LLC has approximately 1 employees and manages $51M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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