Charles P. Spiro
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.
Charles Peter Spiro, who also goes by Charles P Spiro, Chuck Spiro, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2016 - February 3, 2023
KESTRA INVESTMENT SERVICES, LLC
December 5, 2012 - July 23, 2016
PARK AVENUE SECURITIES LLC
August 23, 2001 - November 16, 2012
MML INVESTORS SERVICES, LLC
January 16, 2001 - August 16, 2001
PRINCIPAL SECURITIES, INC.
May 19, 1999 - December 31, 2000
PRINCIPAL SECURITIES, INC.
January 22, 1997 - May 4, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 1, 1994 - September 26, 1995
PMG SECURITIES CORPORATION
June 29, 1992 - November 22, 1993
INVESTMENT ADVISORS & CONSULTANTS, INC.
August 28, 1989 - February 27, 1992
GUARDIAN INVESTOR SERVICES LLC
May 10, 1984 - March 20, 1989
CHRIS SECURITIES INC.
March 22, 1984 - May 7, 1984
BERKSHIRE EQUITY SALES, INC.
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
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
