AS
Adam B. Spector
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT
Philadelphia, PA 19103
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CRD#: 2270713
AS
Professional summary
Adam Benjamin Spector is a registered financial advisor currently at BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC located in Philadelphia, Pennsylvania and FRANKLIN DISTRIBUTORS, LLC located in New York, New York.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Adam has worked at 5 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 34, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. Millcreek Capital; Conshohocken, PA; Strategic Advisor/Board Member; Nature of Business - Outsourced CIO; beginning Sept 1, 2019; 2 hours per quarter during normal securities trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Adam Benjamin Spector's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 22, 1997 - Present
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC
Office #1: 1735 Market Street Suite 1800, Philadelphia, PA 19103RIA
CRD#: 110783
Philadelphia, PA
Current
July 28, 2006 - Present
FRANKLIN DISTRIBUTORS, LLC
Office #1: One Madison Avenue, New York, NY 10010BD
CRD#: 109064
NEW YORK, NY
Past
March 3, 2021 - July 7, 2021
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
BD
CRD#: 332
SAN MATEO, CA
Past
February 19, 1999 - April 5, 2002
LEGG MASON WOOD WALKER, INCORPORATED
BD
CRD#: 6555
BALTIMORE, MD
Past
August 24, 1992 - March 6, 1997
SEI INVESTMENTS DISTRIBUTION CO.
BD
CRD#: 10690
OAKS, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BG
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC
BRANDYWINE ASSET MANAGEMENT INC. | LEGG MASON GLOBAL EQUITY ADVISORS | LEGG MASON ASSET MANAGEMENT ASIA, DE | BW GLOBAL INVESTMENT MANAGEMENT | BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC | BRANDYWINE ASSET MANAGEMENT, LLC
CRD#: 110783 / SEC#: 801-27797
RIA
Registered Investment Advisory firm - (8/29/1986 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/28/2006)
RR
Alaska(11/28/2006)
RR
Arizona(11/28/2006)
RR
Arkansas(11/28/2006)
RR
California(11/28/2006)
RR
Colorado(8/17/2006)
RR
Connecticut(8/21/2006)
RR
Delaware(11/28/2006)
RR
District of Columbia(8/17/2006)
RR
Florida(8/17/2006)
RR
Georgia(11/28/2006)
RR
Hawaii(11/28/2006)
RR
Idaho(11/28/2006)
RR
Illinois(11/28/2006)
RR
Indiana(11/28/2006)
RR
Iowa(11/28/2006)
RR
Kansas(11/28/2006)
RR
Kentucky(11/28/2006)
RR
Louisiana(8/17/2006)
RR
Maine(8/18/2006)
RR
Maryland(8/17/2006)
RR
Massachusetts(11/28/2006)
RR
Michigan(11/28/2006)
RR
Minnesota(11/28/2006)
RR
Mississippi(11/28/2006)
RR
Missouri(11/28/2006)
RR
Montana(11/28/2006)
RR
Nebraska(11/28/2006)
RR
Nevada(11/28/2006)
RR
New Hampshire(11/28/2006)
RR
New Jersey(8/17/2006)
RR
New Mexico(11/28/2006)
RR
New York(11/28/2006)
RR
North Carolina(11/28/2006)
RR
North Dakota(11/28/2006)
RR
Ohio(8/18/2006)
RR
Oklahoma(11/28/2006)
RR
Oregon(11/28/2006)
RR
Pennsylvania(11/28/2006)
IAR
Pennsylvania(1/22/2007)
RR
Puerto Rico(8/17/2006)
RR
Rhode Island(11/28/2006)
RR
South Carolina(11/28/2006)
RR
South Dakota(11/28/2006)
RR
Tennessee(11/28/2006)
IAR
Texas(6/22/1997)
RR
Texas(11/28/2006)
RR
Utah(11/28/2006)
RR
Vermont(8/17/2006)
RR
Virgin Islands(6/4/2008)
RR
Virginia(8/21/2006)
RR
Washington(11/28/2006)
RR
West Virginia(11/28/2006)
RR
Wisconsin(11/28/2006)
RR
Wyoming(11/28/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BG
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC
BRANDYWINE ASSET MANAGEMENT INC. | LEGG MASON GLOBAL EQUITY ADVISORS | LEGG MASON ASSET MANAGEMENT ASIA, DE | BW GLOBAL INVESTMENT MANAGEMENT | BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC | BRANDYWINE ASSET MANAGEMENT, LLC
CRD#: 110783 / SEC#: 801-27797
RIA
Registered Investment Advisory firm - (8/29/1986 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1735 Market Street Suite 1800, Philadelphia, PA 19103
Mailing Address
Phone number
(215) 609-3500
Established
Firm type
Fiscal year end
# of Employees
122
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,060 |
| AUM (Assets Under Management) | $ 66,447,858,097 |
Red Flags
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Company Information
BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC
CRD#: 110783Philadelphia, PA 19103TRUST BUT VERIFY
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Contact information
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