David J. Spano
ANNEX WEALTH MANAGEMENT | CEO
Brookfield, WI 53045
Some features on this profile are disabled
CRD#: 1811176
Professional summary
David Joseph Spano, CFP®, who also goes by Dave Joseph Spano, Dave Spano, is a registered financial advisor currently at ANNEX WEALTH MANAGEMENT, LLC located in Brookfield, Wisconsin.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. David has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Biography
To allow our clients, through our dedication to education, speaking plainly, maintaining high-quality personal relationships, and our commitment to providing independent advice, to benefit from our comprehensive financial planning, investment knowledge, and experience.
Question & Answer
What are your service offerings?
Executive services/Equity comp...
Trust & estate planning
Trading individual securities
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
Are you a "fiduciary"?
Yes
Aliases
Dave Joseph Spano | Dave Spano
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.
ANNEX INSURANCE SERVICES LLC
POSITION: MEMBER NATURE: INSURANCE SALES INVESTMENT RELATED: NO NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 1 START DATE: 06/01/2003
ADDRESS: 12700 W Bluemound Road, Elm Grove WI 53122
DESCRIPTION: MEMBER OF THIS LLC - WI CORPORATE INSURANCE AGENT FOR THE SALE OF NON-REGISTERED INSURANCE CONTRACTS
ANNEX 127, LLC
POSITION: MEMBER NATURE: BUSINESS, MARKETING, OTHER INVESTMENT RELATED: NO NUMBER OF HOURS: 10 INVESTMENT RELATED HOURS: 10 START DATE: 10/01/2010
ADDRESS: 12700 W Bluemound Rd, Elm Grove WI 53122
DESCRIPTION: SOLE MEMBER OF ANNEX 127, LLC - AN ORGANIZATION FORMED TO CAPITALIZE, PURCHASE AND MANAGE COMMERCIAL PROPERTY.
ANNEX TAX SERVICES, LLC
POSITION: Member NATURE: Other OBA INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2018
ADDRESS: 12700 W. Bluemound Rd., Suite 200, Elm Grove WI 53122, United States
DESCRIPTION: Tax Preperation services performed by a CPA
CRS (Client Relationship Summary) - RIA
Click below to view David Joseph Spano's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1991
Experience
Current
December 3, 2004 - Present
ANNEX WEALTH MANAGEMENT, LLC
Office #1: 17950 W. Corporate Drive Suite 300, Brookfield, WI 53045RIA
CRD#: 127987
Brookfield, WI
Past
December 18, 2009 - May 10, 2019
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
ELM GROVE, WI
Past
October 12, 1995 - December 18, 2009
SII INVESTMENTS, INC.
RIA
CRD#: 2225
BROOKFIELD, WI
Past
October 12, 1995 - December 18, 2009
SII INVESTMENTS, INC.
BD
CRD#: 2225
BROOKFIELD, WI
Past
January 9, 1989 - October 19, 1995
WELLINGTON INVESTMENT SERVICES CORP.
BD
CRD#: 23018
BROOKFIELD, WI
Past
June 21, 1988 - January 17, 1989
FSC SECURITIES CORPORATION
BD
CRD#: 7461
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AW
ANNEX WEALTH MANAGEMENT, LLC
ANNEX ADVISORY SERVICES, LLC | SAVVY - POWERED BY ANNEX WEALTH MANAGEMENT | SAVVY | ANNEX WEALTH MANAGEMENT, LLC | ANNEX IGNITE
CRD#: 127987 / SEC#: 801-63505
RIA
Registered Investment Advisory firm - (9/24/2004 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Arizona(5/19/2014)
IAR
California(8/24/2016)
IAR
Colorado(5/23/2019)
IAR
Florida(2/20/2009)
IAR
Illinois(4/29/2009)
IAR
Indiana(2/26/2020)
IAR
Kansas(2/26/2020)
IAR
Kentucky(2/25/2020)
IAR
Michigan(5/23/2019)
IAR
Minnesota(5/7/2014)
IAR
Missouri(5/23/2019)
IAR
New Hampshire(5/23/2019)
IAR
North Carolina(8/24/2016)
IAR
Ohio(5/24/2019)
IAR
South Carolina(8/24/2016)
IAR
Texas(4/22/2014)
IAR
Virginia(2/26/2020)
IAR
Washington(2/26/2020)
IAR
Wisconsin(12/3/2004)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
AW
ANNEX WEALTH MANAGEMENT, LLC
ANNEX ADVISORY SERVICES, LLC | SAVVY - POWERED BY ANNEX WEALTH MANAGEMENT | SAVVY | ANNEX WEALTH MANAGEMENT, LLC | ANNEX IGNITE
CRD#: 127987 / SEC#: 801-63505
RIA
Registered Investment Advisory firm - (9/24/2004 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
17950 W. Corporate Drive Suite 300, Brookfield, WI 53045
Mailing Address
Phone number
(262) 786-6363
Established
Firm type
Fiscal year end
# of Employees
144
SEC notice filing (33 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 19,997 |
| AUM (Assets Under Management) | $ 6,945,737,689 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2025 | ||
| 05/22/2024 | ||
| 12/18/2023 | ||
| 03/16/2023 |
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.
Company Information
ANNEX WEALTH MANAGEMENT, LLC
CEOCRD#: 127987Brookfield, WI 53045TRUST BUT VERIFY
Monitor David Spano
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
