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Stephen Alexander Ratchford

R5 Capital Management

Dallas, TX

CRD 5445424

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Employer firm

R5 Capital Management CRD 169098

$15.0M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Pension consulting

From the firm’s Form ADV. Read the guides:

Current Employers
R5 Capital Management

Dallas, TX • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2014-01-02
  • TX RA
    APPROVED
    Since 2014-01-02

Branch Locations

Dallas, TX • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
R5 Capital Management Dallas TX 12/2013 Present
Previous Registrations
Other Businesses

2008 INSURANCE AGENT; INVESTMENT RELATED; 3813 HANOVER, DALLAS, TEXAS: 1 HOUR A MONTH DURING TRADING HOURS

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-12-27
  • S66 Uniform Combined State Law Examination
    2007-12-27
Other Names
  • Stephen Ratchford

View on SEC IAPD

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