Craig H. Spivey
Professional summary
Craig Henry Spivey is a registered financial professional currently at CEROS FINANCIAL SERVICES, INC. located in Rockville, Maryland.
Craig is registered as a RR (Registered Representative) and started their career in finance in 1987. Craig has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Craig Henry Spivey's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 25, 2025 - Present
CEROS FINANCIAL SERVICES, INC.
Office #1: 1445 Research Boulevard Suite 530, Rockville, MD 20850February 8, 2019 - August 28, 2024
COVA CAPITAL PARTNERS LLC
March 16, 2015 - January 15, 2019
DAKOY CAPITAL MARKETS LLC
August 19, 2011 - October 24, 2014
SETON SECURITIES GROUP, INC.
August 18, 2004 - April 12, 2006
HSBC SECURITIES (USA) INC.
May 15, 2003 - August 25, 2004
DEUTSCHE BANK SECURITIES INC.
June 18, 1992 - May 21, 2003
MORGAN STANLEY MARKET PRODUCTS INC.
June 18, 1992 - May 21, 2003
MORGAN STANLEY & CO. LLC
December 22, 1987 - August 12, 1989
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/3/2025)
(11/4/2025)
(6/25/2025)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
CEROS FINANCIAL SERVICES, INC.
CRD#: 37869 / SEC#: , 8-47955
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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