James C. Spirko

SOVEREIGN FINANCIAL GROUP

Raleigh, NC 27612-3813

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CRD#: 2678102

Professional summary

James Christopher Spirko, who also goes by Chris Spirko, is a registered financial advisor currently at SOVEREIGN FINANCIAL GROUP located in Raleigh, North Carolina.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. James has worked at 5 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris Spirko

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Christopher Spirko's 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

October 25, 2005 - Present

SOVEREIGN FINANCIAL GROUP

Office #1: 4509 Creedmoor Road Suite 201, Raleigh, NC 27612-3813

RIA

CRD#: 137145

Raleigh, NC

Past

September 5, 2003 - October 17, 2005

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ROCKVILLE, MD

Past

December 18, 2000 - September 23, 2003

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

October 9, 1996 - October 25, 2000

VERITY INVESTMENTS, INC.

CRD#: 41527

DURHAM, NC

Past

November 27, 1995 - September 11, 1996

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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

North Carolina
(10/25/2005)

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: 8/19/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/24/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 11/24/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 6/16/1999

Investment Company Products/Variable Contracts Principal Examination

Current Firm

SOVEREIGN FINANCIAL GROUP

SOVEREIGN FINANCIAL GROUP | SOVEREIGN FINANCIAL GROUP, INC.

CRD#: 137145 / SEC#:

North Carolina

Registered Investment Advisory firm - (10/3/2005 Approved)

Texas

Registered Investment Advisory firm - (12/31/2018 Terminated)

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).

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Contact information

Main Address

4509 Creedmoor Road Suite 201, Raleigh, NC 27612-3813

Mailing Address

Phone number

(919) 573-6110

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	154
AUM (Assets Under Management)	$ 41,638,091

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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James C. Spirko

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Christopher Spirko's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOVEREIGN FINANCIAL GROUP

GROVE POINT INVESTMENTS, LLC

IFG NETWORK SECURITIES, INC.

VERITY INVESTMENTS, INC.

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/19/2005

Series 63

Date: 11/24/1995

Series 6

Date: 11/24/1995

Series 26

Date: 6/16/1999

Current Firm

SOVEREIGN FINANCIAL GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SOVEREIGN FINANCIAL GROUP

TRUST BUT VERIFY

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