Jeff R. Spanier
Professional summary
Jeff Ross Spanier was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeff is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Jeff had worked at 3 firms, which includes GRUNTAL & CO. L.L.C., JOSEPH CHARLES & ASSOC. INC., THE AGEAN GROUP INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 1995 - January 16, 1996
GRUNTAL & CO., L.L.C.
April 24, 1995 - September 21, 1995
JOSEPH CHARLES & ASSOC., INC.
January 6, 1995 - May 18, 1995
THE AGEAN GROUP, INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GRUNTAL & CO., L.L.C.
CRD#: 372 / SEC#: , 8-31022
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GRUNTAL FINANCIAL, L.L.C. | INTEREST HOLDER | |
| BRADLEY, RALPH HAMILTON JR | DIRECTOR, EXECUTIVE VICE PRESIDENT | 2802958 |
| COHEN, DONALD N | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | |
| JOHNSON, ROSEMARY | DIRECTOR, EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER | 1515631 |
| RITTEREISER, ROBERT PETER | DIRECTOR, CHAIRMAN, CEO | 400305 |
Disclosures
| Regulatory Event | 34 |
| Arbitration | 81 |
| Bond | 2 |
Red Flags
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