Todd J. Spomer
Professional summary
Todd Jacob Spomer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Todd is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Todd had worked at 4 firms, which includes INSIGHT SECURITIES INC., AMERICAN GENERAL EQUITY SERVICES CORPORATION, CITICORP INVESTMENT SERVICES, FIRST ASSET MANAGEMENT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 1999 - February 23, 2000
INSIGHT SECURITIES, INC.
February 27, 1997 - May 18, 1999
AMERICAN GENERAL EQUITY SERVICES CORPORATION
May 5, 1994 - April 12, 1995
CITICORP INVESTMENT SERVICES
August 2, 1993 - January 28, 1994
FIRST ASSET MANAGEMENT, INC.
Primary Firm SEC Registration
INSIGHT SECURITIES, INC.
CRD#: 5611 / SEC#: 801-12999, 8-16247
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 62
Date: 7/29/1993
Corporate Securities Limited Representative ExaminationCurrent Firm
INSIGHT SECURITIES, INC.
CRD#: 5611 / SEC#: 801-12999, 8-16247
Contact information
SEC notice filing (36 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 48 |
| AUM (Assets Under Management) | $ 94,216,934 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 5 |
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.
