Richard Sanford has been Chief Compliance Officer/Chairman/President of Whitener Capital Management since December 2009, is a control person of the firm and directly owns 75% or more of it. Richard Sanford holds a BA in Economics from East Carolina University and an MBA with a concentration in finance from East Carolina University.
Whitener Capital Management, Inc is a Rocky Mount, NC firm with $598M under management, 851 clients and 5 advisers across 3 offices, as of its February 2026 filing.
Rick Sanford is President and Portfolio Manager of Whitener Capital Management. He has over 25 years of experience in the investment industry and spent six years as an investment broker before joining Whitener Capital. He works with clients through a wealth management process built around a personalized plan.
- – present · 15 yearsRocky Mount, NC · Adviser representative · Firm CRD 106865
- – · under a yearRocky Mount, NC · Adviser representative · Firm CRD 106865
Investment adviser representative registrations
Richard Sanford is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from March 2011; the most recent is Texas, in November 2016.
- North CarolinaSince 4 March 2011
- TexasResidentSince 14 November 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 3 March 2011 |
| Series 63 | Uniform Securities Agent State Law Examination | 24 November 1997 |
| Series 7 | General Securities Representative Examination | 11 November 1997 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Richard Lee Sanford
- CRD
- 2957281
- Firm
- Whitener Capital Management · CRD 106865
- Role
- Chief Compliance Officer/Chairman/President
- Office
- 3993 SUNSET AVENUE, Rocky Mount, NC 27804
- Registration
- Investment adviser registration
- In the industry since
- February 2011
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- whitenercapital.com
Where does Richard Sanford work?
Richard Sanford has been Chief Compliance Officer/Chairman/President of Whitener Capital Management, Inc since December 2009, and is a control person of the firm.
Is Richard Sanford a financial advisor?
Yes. Richard Sanford has a current investment-adviser registration in North Carolina and Texas, through Whitener Capital Management since March 2011.
How many years of experience does Richard Sanford have?
Richard Sanford has 15 years in the financial industry, since February 2011, across 1 adviser firm.
What exams has Richard Sanford passed?
Richard Sanford has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in November 1997.
Where is Richard Sanford based?
Richard Sanford’s registered office is in Rocky Mount, NC.
Is Richard Sanford registered with FINRA?
No. Richard Sanford has no current broker registration.
How can I verify Richard Sanford’s record?
Search CRD 2957281 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Sanford’s full registration record.