Gregory J. Spradling
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.
Gregory James Spradling was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1991. Gregory had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 6, Series 2 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2023 - October 16, 2024
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
January 2, 2009 - June 22, 2023
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
June 27, 2008 - January 2, 2009
RIVERSOURCE DISTRIBUTORS, INC.
November 14, 2006 - April 21, 2008
MORGAN STANLEY & CO. LLC
November 14, 2006 - April 21, 2008
MORGAN STANLEY & CO. LLC
January 20, 2004 - October 27, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
January 20, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
January 20, 2004 - October 27, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
January 1, 2000 - December 19, 2003
FEDERATED INVESTMENT COUNSELING
March 13, 1997 - January 16, 2004
FEDERATED SECURITIES CORP.
April 24, 1991 - March 19, 1992
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
CRD#: 329 / SEC#: 801-60335, 8-220
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 2
Date: 6/6/1995
Non-Member General Securities ExaminationCurrent Firm
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
CRD#: 329 / SEC#: 801-60335, 8-220
Contact information
SEC notice filing (2 States and Territories)
FINRA licenses (9 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUSSELL INVESTMENTS US INSTITUTIONAL HOLDCO, INC. | OWNER | |
| ALVAREZ, CARLOS CID | US BROKER-DEALER CHIEF COMPLIANCE OFFICER | 5689384 |
| CURRAN, AMY ELIZABETH | US ADVISER CHIEF COMPLIANCE OFFICER | 4876594 |
| EL-HILLOW, KATHERINE ANNE | DIRECTOR; PRESIDENT; CHIEF INVESTMENT OFFICER | 4889284 |
| LENZO, JASON ABRAM | DIRECTOR | 2972909 |
| OSTROVSKY, AARON ALEXANDER | DIRECTOR | 7851945 |
| PALTROWITZ, MARK DAVID | CHIEF RISK OFFICER | 2787627 |
| SIEGEL, DAVID ANDREW | FINANCIAL AND OPERATIONS PRINCIPAL | 7440274 |
| SURLOFF, HOWARD BRIAN | CHIEF LEGAL OFFICER | 7525747 |
Regulatory assets under management
| Total Number of Accounts | 152 |
| AUM (Assets Under Management) | $ 79,682,796,997 |
Disclosures
| Regulatory Event | 3 |
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.
