Joseph D. Spagnoli
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.
Joseph Dominick Spagnoli was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1988. Joseph had worked at 16 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
August 3, 2012 - November 14, 2013
SANDLAPPER WEALTH MANAGEMENT, LLC
March 15, 2011 - August 29, 2013
SANDLAPPER SECURITIES, LLC
August 18, 2010 - September 19, 2011
GIRARD SECURITIES, INC.
August 26, 2004 - August 20, 2010
PACIFIC WEST FINANCIAL CONSULTANTS INC
August 26, 2004 - August 20, 2010
PACIFIC WEST SECURITIES, INC.
January 8, 2002 - September 13, 2004
SENTRA SECURITIES CORPORATION
December 7, 2001 - September 13, 2004
SENTRA SECURITIES CORPORATION
March 16, 2001 - December 19, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
June 3, 2000 - March 21, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
March 29, 1999 - March 21, 2001
VALIC FINANCIAL ADVISORS, INC.
June 3, 1998 - November 15, 2000
GATEWAY INVESTMENT SERVICES, INC.
January 1, 1998 - May 7, 1998
POLARIS FINANCIAL SERVICES, INC.
January 24, 1996 - December 19, 1997
CAL FED INVESTMENTS
May 17, 1995 - February 8, 1996
IFMG SECURITIES, INC.
February 1, 1994 - July 6, 1994
CETERA WEALTH SERVICES, LLC
November 13, 1991 - February 16, 1994
CUNA BROKERAGE SERVICES, INC.
January 4, 1988 - March 10, 1988
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SANDLAPPER WEALTH MANAGEMENT, LLC
CRD#: 164443 / SEC#: 801-76985
Contact information
Red Flags
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