Jan G. Spalding
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.
Jan Gordon Spalding was a registered financial professional .
Jan is a previously registered financial professional and started their career in finance in 1992. Jan had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2005 - January 31, 2006
NETWORK PLANNING ADVISORS, L.L.C.
January 19, 2005 - June 15, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 20, 2002 - April 30, 2007
NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY
May 21, 1996 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
January 7, 1992 - June 15, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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 8
Date: 11/25/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current firm
No current employment
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.
