Martha A. Spano

GALLAGHER FIDUCIARY ADVISORS

Irvine, CA 92614

Some features on this profile are disabled

CRD#: 2078001

Professional summary

Martha Ann Spano, who also goes by Martha Ann Spano Ms, is a registered financial advisor currently at GALLAGHER FIDUCIARY ADVISORS, LLC located in Irvine, California and OSAIC WEALTH, INC. located in Irvine, California.

Martha is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Martha has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Martha Ann Spano Ms

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.

1. Financial Fitness Group;101 W Broadway, San Diego Ca 92101; investor;0 hours; Investor; research firm; start date 10/01/2017; non- investment related 2. Paw Power; Orange County, Ca; investor; 0 hours; pet food research; start date 10/01/2020; non-investment related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Martha Ann Spano's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 6, 2022 - Present

GALLAGHER FIDUCIARY ADVISORS, LLC

Office #1: 2050 Main Street, Ste. 1250, Irvine, CA 92614

RIA

CRD#: 146509

Irvine, CA

Current

August 23, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 2050 Main Street Suite 1250, Irvine, CA 92614

RIA

CRD#: 23131

Irvine, CA

Past

June 1, 2022 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

Irvine, CA

Past

January 15, 2021 - February 16, 2021

BANKERS LIFE ADVISORY SERVICES, INC.

RIA

CRD#: 281285

NORTHRIDGE, CA

Past

January 15, 2021 - February 16, 2021

BANKERS LIFE SECURITIES, INC.

CRD#: 173962

NORTHRIDGE, CA

Past

March 7, 2016 - April 7, 2022

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

Los Angeles, CA

Past

February 16, 2016 - April 7, 2022

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Los Angeles, CA

Past

June 22, 2006 - June 30, 2009

TOWERS WATSON INVESTMENT SERVICES, INC.

RIA

CRD#: 110473

UNIVERSAL CITY, CA

Past

October 1, 2002 - April 27, 2004

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

June 6, 2000 - July 2, 2002

UST FINANCIAL SERVICES CORP.

CRD#: 36881

NEW YORK, NY

Past

June 21, 1999 - June 13, 2000

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, NY

Past

February 19, 1991 - April 23, 1993

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

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".

GALLAGHER FIDUCIARY ADVISORS, LLC

CRD#: 146509 / SEC#: 801-68868

RIA

Registered Investment Advisory firm - (3/17/2008 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(8/23/2024)

IAR

California
(6/6/2022)

California
(8/23/2024)

Colorado
(8/23/2024)

Hawaii
(8/23/2024)

Michigan
(8/23/2024)

Nevada
(8/23/2024)

Pennsylvania
(8/23/2024)

Washington
(8/23/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/7/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/22/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/2016

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

GALLAGHER FIDUCIARY ADVISORS, LLC

CRD#: 146509 / SEC#: 801-68868

RIA

Registered Investment Advisory firm - (3/17/2008 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

2850 Golf Road, Rolling Meadows, IL 60008

Mailing Address

Phone number

(212) 330-1011

Established

Firm type

Fiscal year end

# of Employees

221

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A FOR GALLAGHER FIDUCIARY ADVISORS, LLC FOR RETAIL CLIENTS (4/22/2025)

FORM ADV PART 2A FOR GALLAGHER FIDUCIARY ADVISORS, LLC FOR INSTITUTIONAL CLIENTS (4/22/2025)

Regulatory assets under management

Total Number of Accounts	5,754
AUM (Assets Under Management)	$ 180,614,282,519

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.

Similar Advisors

Barton Pearce

PARK AVENUE SECURITIES LLC

IAR

IRVINE, CA

Ryan Gallo

LPL FINANCIAL LLC

IAR

FULLERTON, CA

Michael Jensen

FALCON WEALTH PLANNING, INC.

IAR

Irvine, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Martha A. Spano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Martha Ann Spano's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

TRIAD ADVISORS LLC

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

TOWERS WATSON INVESTMENT SERVICES, INC.

VP DISTRIBUTORS LLC

UST FINANCIAL SERVICES CORP.

DEAM INVESTOR SERVICES, INC.

SEI INVESTMENTS DISTRIBUTION CO.

Primary Firm SEC Registration

GALLAGHER FIDUCIARY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/7/2016

Series 63

Date: 6/22/1999

SIE

Date: 10/1/2018

Series 7

Date: 2/16/2016

FINRA

Current Firm

GALLAGHER FIDUCIARY ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GALLAGHER FIDUCIARY ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors