Joseph H. Spano

THE SPANO GROUP WEALTH MANAGERS

President & Ceo, WV 25545

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CRD#: 1264497

Professional summary

Joseph Howard Spano Sr., who also goes by Joe Spano, Joseph H Spano, Joseph Howard Spano Sr, Joseph Howard Spano Sr., Joseph Howard Spano, Joe Spano, is a registered financial advisor currently at THE SPANO GROUP WEALTH MANAGERS located in President & Ceo, West Virginia.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Joseph has worked at 20 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

LONE CEDAR, LLC - REAL ESTATE HOLDING COMPANY - 1 hr/mo during non-trading Sells Annuities and Life Insurance through Federal Benefit Consulting LLC. approximately 50 hours per month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Howard Spano Sr.'s CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 1, 2023 - Present

THE SPANO GROUP WEALTH MANAGERS

Office #1: Meadowlark Drive 50, President & Ceo, WV 25545

RIA

CRD#: 327702

President & Ceo, WV

Past

May 5, 2023 - August 1, 2023

JONDAKNOWS FINANCIAL GROUP, INC.

RIA

CRD#: 325480

HUNTINTON, WV

Past

July 8, 2022 - June 2, 2023

FREEDOM FINANCIAL ADVISORS, LLC

RIA

CRD#: 42803

PITTSBURGH, PA

Past

January 11, 2008 - January 11, 2008

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

PITTSBURGH, PA

Past

December 6, 2005 - April 24, 2009

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

CHARLESTON, WV

Past

December 6, 2005 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

HUNTINGTON, WV

Past

December 6, 2005 - April 24, 2009

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

HUNTINGTON, WV

Past

May 7, 2003 - December 31, 2005

CITISTREET FINANCIAL SERVICES LLC

RIA

CRD#: 107311

ALPHARETTA, GA

Past

March 5, 2003 - December 31, 2005

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

Past

February 15, 2002 - March 19, 2003

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

February 15, 2002 - March 19, 2003

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

June 26, 1992 - January 22, 1993

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

April 25, 1988 - December 31, 1989

EQUITY SERVICES, INC.

CRD#: 265

Past

January 30, 1987 - January 2, 1988

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

CRD#: 2682

Past

January 30, 1987 - May 24, 1988

MML INVESTORS SERVICES, LLC

CRD#: 10409

Past

February 7, 1986 - December 31, 1989

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

June 22, 1984 - February 24, 1986

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

Past

June 22, 1984 - February 24, 1986

EQUITABLE ADVISORS, LLC

CRD#: 6627

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

West Virginia
(8/1/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/7/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/14/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

THE SPANO GROUP WEALTH MANAGERS

FEDERAL EMPLOYEE RETIREMENT SERVICES-FERS | THE SPANO GROUP WEALTH MANAGERS | PATRIOT INSTITUTIONAL CONSULTING, PORTER SPANO VENTURE CAPITAL | PATRIOT INSTITUTIONAL CONSULTING THE SPANO GROUP WEALTH MANAGERS | PATRIOT INSTITUTIONAL CONSULTING CONSOLIDATED WEALTH MANAGEM | PATRIOT INSTITUTIONAL CONSULTING | JOSEPH H. SPANO FINANCIAL

CRD#: 327702 / SEC#:

Ohio

Registered Investment Advisory firm - (3/14/2024 Terminated)

West Virginia

Registered Investment Advisory firm - (8/1/2023 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Meadowlark Drive 50, President & Ceo, WV 25545

Mailing Address

Phone number

(304) 546-9366

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 1,000,000

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Ohio	ERA - Withdrawn	7/14/2023

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.

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Advisor Monitoring

Firm Stability Insights

Joseph H. Spano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Howard Spano Sr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

JONDAKNOWS FINANCIAL GROUP, INC.

FREEDOM FINANCIAL ADVISORS, LLC

PATRIOT FINANCIAL CONSULTING

LOMBARD SECURITIES INCORPORATED

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

INVESTORS CAPITAL CORP.

INVESTORS CAPITAL CORP.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

CITISTREET FINANCIAL SERVICES LLC

CITISTREET EQUITIES LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

EQUITY SERVICES, INC.

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

MML INVESTORS SERVICES, LLC

EQUITY SERVICES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/7/2002

SIE

Date: 9/24/2018

Series 6

Date: 2/14/2002

Current Firm

THE SPANO GROUP WEALTH MANAGERS

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

THE SPANO GROUP WEALTH MANAGERS

TRUST BUT VERIFY

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