Brett A. Spangler

FINANCIAL ENHANCEMENT GROUP

Anderson, IN 46013

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CRD#: 2277448

Professional summary

Brett Alan Spangler is a registered financial advisor currently at FINANCIAL ENHANCEMENT GROUP located in Anderson, Indiana.

Brett is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Brett has worked at 2 firms and has passed the Series 65, Series 63 and Series 6 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.

Estep Doctor & Company, 1320 E. 53rd St., Suite D, Anderson, IN 46013, CPA, Since 1/1/2024. All within trading hours. Innovative Small Business Solutions, Inc. - CPA Firm Start Date: 02/2017 Owner 2704 Enterprise Drive, Anderson IN 46013 All within trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Alan Spangler's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 30, 2018 - Present

FINANCIAL ENHANCEMENT GROUP

Office #1: 2704 Enterprise Drive, Anderson, IN 46013

RIA

CRD#: 159017

Anderson, IN

Past

September 24, 1992 - January 5, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

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".

FINANCIAL ENHANCEMENT GROUP

FINANCIAL ENHANCEMENT GROUP | FINANCIAL ENHANCEMENT GROUP LLC

CRD#: 159017 / SEC#: 801-72907

RIA

Registered Investment Advisory firm - (1/3/2012 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.

Highlighted states indicate IAR registrations

IAR

Indiana
(5/30/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/24/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/23/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 9/23/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FINANCIAL ENHANCEMENT GROUP

FINANCIAL ENHANCEMENT GROUP | FINANCIAL ENHANCEMENT GROUP LLC

CRD#: 159017 / SEC#: 801-72907

RIA

Registered Investment Advisory firm - (1/3/2012 Approved)

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Contact information

Main Address

2704 Enterprise Drive, Anderson, IN 46013

Mailing Address

Phone number

(765) 640-1524

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	3,412
AUM (Assets Under Management)	$ 831,506,691

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2025	Cover Page	Report
10/22/2024	Cover Page	Report
12/21/2023	Cover Page	Report
03/23/2023	Cover Page	Report

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.

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Brett A. Spangler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brett Alan Spangler's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL ENHANCEMENT GROUP

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

FINANCIAL ENHANCEMENT GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 2/24/2018

Series 63

Date: 9/23/1992

Series 6

Date: 9/23/1992

Current Firm

FINANCIAL ENHANCEMENT GROUP

Contact information

SEC notice filing (25 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FINANCIAL ENHANCEMENT GROUP

TRUST BUT VERIFY

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