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AS

Andrea M. Spieth

PROFESSIONAL PLANNING GROUP
Westerly, RI 02891
Some features on this profile are disabled
CRD#: 2613008
AS

Professional summary

Andrea Michelle Spieth, who also goes by Andrea M Spieth, is a registered financial advisor currently at PROFESSIONAL PLANNING GROUP located in Westerly, Rhode Island and RAYMOND JAMES FINANCIAL SERVICES, INC. located in Westerly, Rhode Island.

Andrea is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Andrea has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Andrea M Spieth

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.
(1)Name of Business: Professional Planning Group Address: 9 Granite St, Westerly, RI, 02891-2207, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 01/07/2019 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: trading, client service

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrea Michelle Spieth'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

June 28, 2019 - Present

PROFESSIONAL PLANNING GROUP

Office #1: 9 Granite Street, Westerly, RI 02891
RIA
CRD#: 108868
Westerly, RI
Current

January 31, 2019 - Present

RAYMOND JAMES FINANCIAL SERVICES, INC.

Office #1: 9 Granite Street, Westerly, RI 02891
BD
CRD#: 6694
Westerly, RI
Past

January 19, 2016 - November 5, 2018

LPL FINANCIAL LLC

RIA
CRD#: 6413
EAST GREENWICH, RI
Past

January 19, 2016 - November 5, 2018

LPL FINANCIAL LLC

BD
CRD#: 6413
EAST GREENWICH, RI
Past

June 1, 2009 - May 26, 2015

MORGAN STANLEY

RIA
CRD#: 149777
PROVIDENCE, RI
Past

June 1, 2009 - May 26, 2015

MORGAN STANLEY

BD
CRD#: 149777
PROVIDENCE, RI
Past

February 13, 2009 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
PROVIDENCE, RI
Past

February 27, 1998 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
PROVIDENCE, RI
Past

May 15, 1997 - December 9, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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".
PP
PROFESSIONAL PLANNING GROUP
NEW ENGLAND PROFESSIONAL PLANNING GROUP INC | PROFESSIONAL PLANNING GROUP | NEW ENGLAND PROFESSIONAL PLANNING GROUP INC.

CRD#: 108868 / SEC#: 801-15330

RIA
Registered Investment Advisory firm - (7/18/1980 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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(3/26/2019)
RR
Florida
(3/26/2019)
RR
Massachusetts
(3/26/2019)
RR
Rhode Island
(1/31/2019)
IAR
Rhode Island
(6/28/2019)
IAR
Texas
(11/13/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/14/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/16/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 6/24/2009
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 5/5/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/21/2001
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/9/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/2/2000
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

PP
PROFESSIONAL PLANNING GROUP
NEW ENGLAND PROFESSIONAL PLANNING GROUP INC | PROFESSIONAL PLANNING GROUP | NEW ENGLAND PROFESSIONAL PLANNING GROUP INC.

CRD#: 108868 / SEC#: 801-15330

RIA
Registered Investment Advisory firm - (7/18/1980 Approved)
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Contact information

Main Address
9 Granite Street, Westerly, RI 02891
Mailing Address
Phone number
(401) 596-2800
Established
Firm type
Fiscal year end
# of Employees
19

SEC notice filing (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

10 16 2025 PPG FORM ADV PART 2A FINAL (10/16/2025)

Regulatory assets under management

Total Number of Accounts2,354
AUM (Assets Under Management)$ 1,166,383,072

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

PROFESSIONAL PLANNING GROUP

CRD#: 108868Westerly, RI 02891

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