Kim S. Spangler
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.
Kim Susan Spangler was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1988. Kim had worked at 9 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2012 - March 9, 2012
NATIONAL PLANNING CORPORATION
November 8, 2010 - January 30, 2012
CROSSMARK DISTRIBUTORS, INC.
April 1, 2006 - August 16, 2010
METLIFE INVESTORS DISTRIBUTION COMPANY
July 12, 2001 - April 1, 2006
TOWER SQUARE SECURITIES, INC.
January 27, 2000 - June 12, 2001
CITIGROUP GLOBAL MARKETS INC.
February 18, 1997 - December 31, 1999
TOWER SQUARE SECURITIES, INC.
October 9, 1994 - February 6, 1997
CITIGROUP GLOBAL MARKETS INC.
January 27, 1994 - March 8, 1994
CIBC WORLD MARKETS CORP.
July 31, 1993 - November 24, 1993
CITIGROUP GLOBAL MARKETS INC.
January 13, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
July 12, 1989 - January 10, 1992
SUTRO & CO. INCORPORATED
May 26, 1988 - July 17, 1989
KEYPORT FINANCIAL SERVICES CORP.
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
NATIONAL PLANNING CORPORATION
CRD#: 29604 / SEC#: 801-41015, 8-44435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SVP/CFO- NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT AND CEO OF NATIONAL PLANNING HOLDINGS, INC.; DIRECTOR | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL AND SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| JOHNSON, JOHN CHARLES | PRESIDENT/CEO/DIRECTOR | 2079852 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP/FINOP CONTROLLER | 4800775 |
| MARTINEZ, WENDY TAMIE | SVP OPERATIONS | 2668422 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS | 1955960 |
| STONE, JEREMY MICHAEL | VICE PRESIDENT COMPLIANCE | 5000139 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
| Bond | 1 |
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.
