Andrew R. Spanton
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.
Andrew Robert Spanton was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1991. Andrew had worked at 11 firms and has passed the Series 63, Series 55, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2002 - December 13, 2002
A.B. WATLEY, INC.
January 22, 2002 - January 31, 2002
J.P.R. CAPITAL CORP.
September 21, 2001 - December 4, 2001
WORLDCO, L.L.C.
April 13, 2000 - September 21, 2001
ELECTRONIC TRADING GROUP, LLC
March 31, 2000 - April 6, 2000
ON-SITE TRADING, INC.
January 11, 2000 - March 6, 2000
SCHONFELD SECURITIES, LLC
May 8, 1998 - December 9, 1999
ON-SITE TRADING, INC.
September 26, 1997 - February 10, 1999
WORLDCO, L.L.C.
February 27, 1997 - September 9, 1997
IRONHORSE SECURITIES INC.
September 6, 1994 - November 16, 1994
ROBERT THOMAS SECURITIES, INC
August 24, 1994 - September 12, 1994
A.S. GOLDMEN & CO., INC.
February 16, 1994 - March 14, 1994
SCHONFELD SECURITIES, LLC
April 12, 1993 - January 18, 1994
FIRST NEW YORK SECURITIES L.L.C.
April 12, 1991 - December 21, 1992
DORAL SECURITIES CORP. OF COLORADO
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 55
Date: 9/5/2000
Limited Representative-Equity Trader ExamCurrent Firm
A.B. WATLEY, INC.
CRD#: 797 / SEC#: , 8-7080
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 2 |
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.
