Spenser T. Vago

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CRD#: 2282611

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.

Spenser Thomas Vago was a registered financial professional .

Spenser is a previously registered financial professional and started their career in finance in 1992. Spenser had worked at 7 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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 Name of the other business: Vago Insurance Agency Investment Related?: Yes Address of other business: Stony Point Drive Strongsville, OH Nature of other business: Employee Benefits and Insurance Agency Your position: Owner/Advisors Start Date: 11/1999 How many hours you devote to the other business per month: 200 How many hours you devote to the other business during securities trading hours: 120 Briefly describe your duties: several types of insurance product sales, including health, life, Medicare, auto, home, STD, LTD, voluntary products

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

June 12, 2023 - February 14, 2024

ADVISOR SHARE WEALTH MANAGEMENT, LLC

RIA

CRD#: 307997

Strongsville, OH

Past

July 15, 2020 - August 2, 2021

VIRTUE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 167816

STRONGSVILLE, OH

Past

September 5, 2017 - August 14, 2019

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

Strongsville, OH

Past

October 16, 2014 - November 6, 2015

REDHAWK WEALTH ADVISORS, INC.

RIA

CRD#: 146616

STRONGSVILLE, OH

Past

November 13, 2006 - December 16, 2014

SPENSER T. VAGO, REGISTERED INVESTMENT ADVISER

RIA

CRD#: 129344

STRONGSVILLE, OH

Past

March 31, 2003 - December 31, 2003

SICOR SECURITIES INC

RIA

CRD#: 16195

WESTLAKE, OH

Past

August 5, 1997 - December 31, 2003

SICOR SECURITIES INC

CRD#: 16195

DAYTON, OH

Past

May 30, 1995 - July 10, 1997

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

Past

October 8, 1992 - June 30, 1993

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

ADVISOR SHARE WEALTH MANAGEMENT, LLC

ADVISOR SHARE WEALTH MANAGEMENT | PEACE OF MIND PLANNING LLC | ADVISOR SHARE WEALTH MANAGEMENT, LLC

CRD#: 307997 / SEC#: 801-127122

RIA

Registered Investment Advisory firm - (1/3/2023 Approved)

Michigan

Registered Investment Advisory firm - (1/19/2023 Terminated)

Nevada

Registered Investment Advisory firm - (2/13/2023 Terminated)

Oklahoma

Registered Investment Advisory firm - (5/22/2023 Cancelled)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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: 4/16/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/22/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 10/6/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ADVISOR SHARE WEALTH MANAGEMENT, LLC

ADVISOR SHARE WEALTH MANAGEMENT | PEACE OF MIND PLANNING LLC | ADVISOR SHARE WEALTH MANAGEMENT, LLC

CRD#: 307997 / SEC#: 801-127122

RIA

Registered Investment Advisory firm - (1/3/2023 Approved)

Michigan

Registered Investment Advisory firm - (1/19/2023 Terminated)

Nevada

Registered Investment Advisory firm - (2/13/2023 Terminated)

Oklahoma

Registered Investment Advisory firm - (5/22/2023 Cancelled)

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Contact information

Main Address

13215 Se Mill Plain Blvd Suite C8-321, Vancouver, WA 98684

Mailing Address

Phone number

(866) 232-3251

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (POM) (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,429
AUM (Assets Under Management)	$ 185,181,144

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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Advisor Monitoring

Firm Stability Insights

Spenser T. Vago

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VIRTUE CAPITAL MANAGEMENT, LLC

HORTER INVESTMENT MANAGEMENT, LLC

REDHAWK WEALTH ADVISORS, INC.

SPENSER T. VAGO, REGISTERED INVESTMENT ADVISER

SICOR SECURITIES INC

SICOR SECURITIES INC

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

ADVISOR SHARE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/16/2002

Series 63

Date: 9/22/1992

Series 6

Date: 10/6/1992

Current Firm

ADVISOR SHARE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADVISOR SHARE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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