Carl William Spoerer Ii
Professional Summary
Carl William Spoerer II was a registered financial advisor. Carl was a previously registered financial professional and started their career in finance 1990 - 1994. Carl had worked at 4 firms and has passed the Series 63 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
COMPREHENSIVE FINANCIAL SERVICES, DIV OF IFG NETWORK SECURITIES | IFG NETWORK SECURITIES, INC. | GULFSTREAM INVESTMENT & SECURITIES CORPORATION
Contact Information
Established
Florida since 01/29/1987Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INVESTORS FINANCIAL PLANNING, INC. | HOLDING COMPANY | — |
| DUNSTAN, RICHARD VAUGHAN | VICE PRESIDENT/SECRETARY/CROP | 1632092 |
| DUNSTAN, RICHARD VAUGHAN | MUNICIPAL PRINCIPAL | 1632092 |
| HARRISON, BRETT LAMAR | COO, SENIOR VICE PRESIDENT | 4032238 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| MCEVOY, PATRICK HENRY | PRESIDENT, CEO | 1796543 |
| RESSLER, SANDER JAMES | CCO | 1455553 |
| STEWART, EVERETT PAUL JR | VICE PRESIDENT/TREASURER/FINOP | 2025188 |
Disclosures
Regulatory Event
3Arbitration
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1990About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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