Stacey Richmond

Compliance Supervisor

(650) 445-0473 | srichmond@fsnweb.com

In her role as Compliance Supervisor with The Financial Services Network, Stacey is responsible for compliance, advisor support and training.

Prior to joining The Network in 2014, Stacey began her career with SagePoint Financial in 2008, working as a financial advisor, office manager and OSJ.

Stacey lives in Northern California with her three children. She enjoys spending time at the beach, taking road trips and cooking.

Education

  • Bachelor of Science, University of Idaho

Professional Qualifications

  • Securities registrations Series 4, 7, 24 and 53 held through LPL Financial. Series 66 held through Strategic Wealth Advisors Group, and LPL Financial.
  • FINRA Series 4: Registered Options Principal Examination
  • FINRA Series 7: Non-Member General Securities Examination
  • FINRA Series 24: General Securities Principal Qualification Examination
  • FINRA Series 53: Municipal Securities Principal Qualification Examination
  • FINRA Series 66: NASAA Uniform Combined State Law Examination