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Stanford Jay Ricks

Investment Adviser Representative at SUNDANCE BAY

Salt Lake City, UTCRD #732176Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
5 yrs
States Registered
1 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Utah
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 5/24/2021
Series 63
Uniform Securities Agent State Law Examination
Passed 6/26/1981
Series 7
General Securities Representative Examination
Passed 6/20/1981
Series 24
General Securities Principal Examination
Passed 7/30/1982

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $250,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Sundance BAY Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

SUNDANCE BAYCurrent
5/25/2021 – Salt Lake City, UT

Official records & sources

FINRA BrokerCheck record
Official broker registration & regulatory record
SEC IAPD record
SEC investment adviser registration record

Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Stanford Jay Ricks has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.