Robert J. Spierdowis
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.
Robert Joseph Spierdowis, CFP®, who also goes by Bob Spierdowis, Robert J Spierdowis, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1988. Robert had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9, Series 24, Series 23 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
Start date: 2011
Experience
April 6, 2021 - October 15, 2025
SCHWAB WEALTH ADVISORY, INC.
March 29, 2021 - October 15, 2025
CHARLES SCHWAB & CO., INC.
September 13, 2012 - April 3, 2019
VOYA FINANCIAL ADVISORS, INC.
July 10, 2012 - April 3, 2019
VOYA FINANCIAL ADVISORS, INC.
August 15, 2011 - June 25, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 15, 2011 - June 25, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 24, 2010 - July 18, 2011
CHARLES SCHWAB & CO., INC.
February 16, 2010 - July 18, 2011
CHARLES SCHWAB & CO., INC.
October 27, 2005 - March 18, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 5, 2004 - October 12, 2005
MORGAN STANLEY DW INC.
July 4, 2003 - October 13, 2004
AMSOUTH INVESTMENT SERVICES, INC.
August 24, 1993 - December 31, 2002
CHARLES SCHWAB & CO., INC.
October 17, 1990 - August 13, 1993
DEAM INVESTOR SERVICES, INC.
June 27, 1990 - October 12, 1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
June 27, 1990 - October 12, 1990
SIGNATOR INVESTORS, INC.
November 30, 1988 - April 27, 1989
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 30, 1988 - April 27, 1989
PRUCO SECURITIES, LLC.
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: 5/3/1994
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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