Richard M. Spaziano
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.
Richard Michael Spaziano was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 28, Series 51 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
March 2, 2015 - April 26, 2017
CREATIVE RESOURCES INVESTMENT ADVISORS LLC
March 14, 2012 - December 15, 2015
WINDSOR STREET CAPITAL, LP
April 21, 2010 - May 23, 2011
RETIREMENT CAPITAL GROUP SECURITIES, INC.
July 28, 2008 - April 15, 2010
GROVE POINT INVESTMENTS, LLC
January 25, 1999 - October 23, 2008
CR BROKER SERVICES, LLC
June 14, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
June 14, 1996 - March 12, 1999
SIGNATOR INVESTORS, INC.
May 31, 1994 - December 31, 2014
CREATIVE RESOURCES INVESTMENT ADVISORS LLC
March 18, 1994 - April 19, 1996
OSAIC WEALTH, INC.
December 7, 1989 - March 28, 1994
GUARDIAN INVESTOR SERVICES LLC
June 18, 1989 - November 16, 1989
SUNAMERICA SECURITIES, INC.
May 22, 1986 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
June 19, 1983 - January 14, 1985
AETNA LIFE INSURANCE AND ANNUITY COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 28
Date: 9/17/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
CREATIVE RESOURCES INVESTMENT ADVISORS LLC
CRD#: 110484 / SEC#: 801-55177
Contact information
Regulatory assets under management
| Total Number of Accounts | 66 |
| AUM (Assets Under Management) | $ 19,093,486 |
Red Flags
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