Michael J. Spoto
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.
Michael James Spoto, who also goes by Michael Spoto, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1990. Michael had worked at 7 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2007 - December 31, 2013
FORTUNE FINANCIAL SERVICES, INC.
September 20, 2000 - July 5, 2007
MML INVESTORS SERVICES, LLC
June 24, 1998 - September 25, 2000
LOCUST STREET SECURITIES, INC.
April 30, 1997 - June 19, 1998
WMA SECURITIES, INC.
January 23, 1996 - April 23, 1997
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 12, 1992 - February 6, 1996
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
November 20, 1990 - March 17, 1992
1717 CAPITAL MANAGEMENT COMPANY
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
Current Firm
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
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.
