Michael F. Sposito
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.
Michael Francis Sposito, CFP®, who also goes by Michael Frances Sposito, Mike Sposito, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1986. Michael had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2012 - April 16, 2026
SCHWAB WEALTH ADVISORY, INC.
January 26, 2012 - March 22, 2012
CHARLES SCHWAB & CO., INC.
February 10, 2003 - December 31, 2011
CHARLES SCHWAB & CO., INC.
May 4, 1987 - April 16, 2026
CHARLES SCHWAB & CO., INC.
October 22, 1986 - February 4, 1987
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
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
Series 8
Date: 8/12/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
Red Flags
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