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Erin M. Spillane

Some features on this profile are disabled
CRD#: 1403711
ES

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.

Erin Margo Spillane was a registered financial professional .

Erin is a previously registered financial professional and started their career in finance in 1991. Erin had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 12, 2010 - November 17, 2011

GRANT WILLIAMS L.P.

RIA
CRD#: 45961
PHILADELPHIA, PA
Past

March 3, 2009 - August 12, 2010

A. H. WILLIAMS & COMPANY, INC.

RIA
CRD#: 123682
PHILADELPHIA, PA
Past

June 26, 2006 - April 16, 2015

GRANT WILLIAMS L.P.

BD
CRD#: 45961
PHILADELPHIA, PA
Past

January 7, 2005 - June 13, 2006

FHN FINANCIAL SECURITIES CORP.

BD
CRD#: 46346
PHILADELPHIA, PA
Past

December 1, 2003 - January 7, 2005

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

September 27, 2002 - November 24, 2003

TD WEALTH MANAGEMENT SERVICES INC.

RIA
CRD#: 6940
PHILADELPHIA, PA
Past

October 8, 1998 - November 24, 2003

TD WEALTH MANAGEMENT SERVICES INC.

BD
CRD#: 6940
PHILADELPHIA, PA
Past

July 10, 1991 - August 4, 1997

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/8/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/10/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/16/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/1992
General Securities Representative Examination

Current Firm

GW
GRANT WILLIAMS L.P.
GRANT WILLIAMS L.P. | GWLP

CRD#: 45961 / SEC#: , 8-51249

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1650 Market Street 53rd Floor, Philadelphia, PA 19103
Mailing Address
1650 Market Street 53rd Floor, Philadelphia, PA 19103
Phone number
(215) 432-7579
Established
Pennsylvania since 06/26/1998
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
2

FINRA licenses (20 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
PORTFOLIO SOLUTIONS LLCSHAREHOLDER
GRANT, STEVEN TAYLORPRESIDENT, CEO, CCO, CFO826826
GRW, INC.GENERAL PARTNER

Disclosures

Regulatory Event2

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.

Company Information

GRANT WILLIAMS L.P.

CRD#: 45961

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