Brian F. Spengemann
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Brian Frank Spengemann was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1982. Brian had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 1998 - December 31, 2015
COVENTRY CAPITAL, INC.
September 17, 1984 - March 24, 2017
COVENTRY CAPITAL, INC.
February 9, 1982 - November 10, 1982
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COVENTRY CAPITAL, INC.
CRD#: 14890 / SEC#: , 8-29988
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SPENGEMANN, BRIAN FRANK | PRESIDENT/CHIEF COMPLIANCE OFFICER | 1029183 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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