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AS

Adam B. Spector

Some features on this profile are disabled
CRD#: 2270713
AS

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.

Adam Benjamin Spector was a registered financial professional .

Adam is a previously registered financial professional and started their career in finance in 1992. Adam had 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"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 3, 2021 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA
Past

July 28, 2006 - December 2, 2025

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
Devon, PA
Past

February 19, 1999 - April 5, 2002

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

June 22, 1997 - December 31, 2025

BRANDYWINE GLOBAL INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 110783
PHILADELPHIA, PA
Past

August 24, 1992 - March 6, 1997

SEI INVESTMENTS DISTRIBUTION CO.

BD
CRD#: 10690
OAKS, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/27/2006
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/24/1996
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 34
Date: 11/11/2014
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 5/29/2013
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/10/2006
General Securities Principal Examination

Current Firm

FD
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
FRANKLIN DISTRIBUTORS, INC. | FRANKLIN/TEMPLETON DISTRIBUTORS, LLC | FRANKLIN/TEMPLETON DISTRIBUTORS, INC.

CRD#: 332 / SEC#: , 8-5889

BD
Terminated by SEC on 10/03/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 07/01/2021
Firm type
Limited Liability Company
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TEMPLETON WORLDWIDE, INC.SHAREHOLDER
CIEPRISZ, KENNETH DAVIDCHIEF COMPLIANCE OFFICER2303713
MASOM, JEFFREY SCOTTPRESIDENT - DIRECTOR2870966
PATERSON, DAVIDCHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL7001546
SPECTOR, ADAM BENJAMINCHIEF EXECUTIVE OFFICER2270713

Disclosures

Regulatory Event1
Civil Event1

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.

Company Information

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

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