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Ted Paul Spires Jr

CRD# 1438344·Registered 1986 - 1994
Previously Registered: Being a previously registered professional could mean that Ted 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.

Professional Summary

Ted Paul Spires JR was a registered financial advisor. Ted was a previously registered financial professional and started their career in finance 1986 - 1994. Ted had worked at 6 firms and has passed the Series 63, Series 7, Series 24, Series 4 and Series 53 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

40 years in the financial services industry

Current & Past Employments

GILBERT MARSHALL & COMPANY·CRD# 13954
BD
March 4, 1994 - November 14, 1994
STRATEGIC RESOURCE MANAGEMENT, INC.·CRD# 28974
BD
July 9, 1993 - February 22, 1994
SCHNEIDER SECURITIES, INC.·CRD# 16434
BD
April 29, 1992 - July 2, 1993
SMITH, BENTON & HUGHES, INC.·CRD# 20877
BD
June 19, 1991 - May 5, 1992
NTB FINANCIAL CORPORATION·CRD# 7425
BD
February 11, 1991 - June 13, 1991
MALONE & ASSOCIATES, INC.·CRD# 10412
BD
January 22, 1986 - February 28, 1991

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Current Firm

GM
GILBERT MARSHALL & COMPANY

GILBERT MARSHALL & COMPANY | GILBERT/MARSHALL & COMPANY

CRD#: 13954 / SEC#: 8-30071
BD
Revoked by SEC on 08/16/1999

Contact Information

Established

Colorado since 05/18/1983

Firm Type

Corporation

Fiscal Year End

December

Documents

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1986About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jan 1986About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed May 1991About the Series 24 exam

Series 4 — Registered Options Principal Examination

Passed Apr 1991About the Series 4 exam

Series 53 — Municipal Securities Principal Examination

Passed Aug 1988About the Series 53 exam

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CRS (Client Relationship Summary)

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

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