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Carol Marshall Horace

Stafford Capital Management LLC

Sausalito, CA

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Current Employers
Stafford Capital Management Llc

1505 Bridgeway Suite 206-B, Sausalito, CA 94965 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2012-03-19
  • CA RA
    APPROVED
    Since 2012-03-19

Branch Locations

1505 Bridgeway Suite 206-B, Sausalito, CA 94965 • 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
Stafford Capital Management San Francisco CA 06/2011 Present
Wm. H. Murphy & Co., Inc. Houston TX 02/2018 07/2018
  • 06/2011 → Present
    Stafford Capital Management
    San Francisco, CA
  • 02/2018 → 07/2018
    Wm. H. Murphy & Co., Inc.
    Houston, TX
Previous Registrations
  • 2010-06-21 → 2011-12-21
    Potomac Research Group
    Larkspur, CA
    Washington, DC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-01-30
S63 Uniform Securities Agent State Law Examination 1993-09-22
  • S65 Uniform Investment Adviser Law Examination
    2010-01-30
  • S63 Uniform Securities Agent State Law Examination
    1993-09-22
Other Names
  • Carol Ruth Marshall

View on SEC IAPD

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