Robert Spawn
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.
Robert Spawn, who also goes by Robert Burns Spawn, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1985. Robert had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2020 - November 30, 2022
WEDBUSH SECURITIES INC.
May 15, 2020 - November 30, 2022
WEDBUSH SECURITIES INC.
January 11, 2016 - March 28, 2018
J.P. MORGAN SECURITIES LLC
January 8, 2016 - March 28, 2018
J.P. MORGAN SECURITIES LLC
October 3, 2013 - January 19, 2016
RBC CAPITAL MARKETS, LLC
October 3, 2013 - January 19, 2016
RBC CAPITAL MARKETS, LLC
August 7, 2006 - October 11, 2013
UBS FINANCIAL SERVICES INC.
August 7, 2006 - October 11, 2013
UBS FINANCIAL SERVICES INC.
February 18, 2005 - August 9, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 3, 2001 - August 9, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 4, 1993 - September 29, 1995
FIRST FIDELITY BROKERS, INC.
July 3, 1991 - January 8, 1992
CIBC WORLD MARKETS CORP.
March 17, 1989 - August 21, 1991
FINANCIAL SQUARE PARTNERS
September 3, 1987 - March 27, 1989
CIBC WORLD MARKETS CORP.
March 23, 1985 - August 28, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
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
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 04/26/2024 | ||
| 12/21/2022 |
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.
