Jeffrey C. Spears
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.
Jeffrey Castle Spears, who also goes by Jeff Spears, Jeffrey Spears, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1987. Jeffrey had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, Series 7, Series 4, Series 53, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2020 - September 25, 2020
BURFORD BROTHERS, INC.
November 22, 2019 - January 7, 2020
CHAPWOOD CAPITAL INVESTMENT MANAGEMENT, LLC
October 1, 2019 - December 10, 2019
CHAPWOOD SECURITIES, INC.
November 20, 2017 - October 4, 2019
FORT POINT CAPITAL PARTNERS LLC
April 11, 2011 - April 25, 2019
CROSSPOINT CAPITAL MANAGEMENT
October 23, 2008 - May 5, 2017
SANCTUARY SECURITIES LLC
March 2, 2004 - March 20, 2007
PRESIDIO CAPITAL ADVISORS, LLC
August 19, 2003 - October 10, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 19, 2003 - October 10, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 1, 1997 - August 20, 2003
BANC OF AMERICA SECURITIES LLC
July 8, 1997 - August 20, 2003
BANC OF AMERICA SECURITIES LLC
April 19, 1995 - October 1, 1997
MONTGOMERY SECURITIES
May 6, 1992 - March 21, 1995
CREDIT SUISSE SECURITIES (USA) LLC
March 23, 1989 - May 7, 1992
PERSHING LLC
July 21, 1987 - March 31, 1989
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
BURFORD BROTHERS, INC.
CRD#: 306574 / SEC#: 801-117819
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 5
Date: 10/16/1987
Interest Rate Options ExaminationSeries 8
Date: 2/23/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BURFORD BROTHERS, INC.
CRD#: 306574 / SEC#: 801-117819
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 749 |
| AUM (Assets Under Management) | $ 361,328,374 |
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.
