Verna M. Spalding
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.
Verna Mae Spalding, who also goes by Verna Mae Phillips, Verna Phillips, Verna M Spabling, Verna M Spalding, Verna Mae Spalding, Verna Spalding, was a registered financial professional .
Verna is a previously registered financial professional and started their career in finance in 1996. Verna had worked at 14 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2024 - August 14, 2025
EDELMAN FINANCIAL ENGINES
April 1, 2022 - June 16, 2023
CUSO FINANCIAL SERVICES, L.P.
December 18, 2019 - September 16, 2020
J.P. MORGAN SECURITIES LLC
February 14, 2007 - January 22, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
March 29, 2004 - October 10, 2006
INVESTMENTS FOR YOU, INC.
November 1, 2002 - March 4, 2004
BANC ONE SECURITIES CORPORATION
September 11, 2002 - March 4, 2004
BANC ONE SECURITIES CORPORATION
October 29, 2001 - May 28, 2002
ALLIANZ LIFE FINANCIAL SERVICES, LLC
February 7, 2001 - October 8, 2001
TOUCHSTONE SECURITIES, INC.
July 26, 2000 - December 22, 2000
IDS LIFE INSURANCE COMPANY
July 26, 2000 - December 22, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
April 7, 2000 - July 25, 2000
OSAIC FS, INC.
June 1, 1999 - August 19, 1999
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 5, 1997 - July 17, 1998
MORGAN STANLEY DW INC.
August 16, 1996 - April 25, 1997
TD AMERITRADE, INC.
Primary Firm SEC Registration
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
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 7TO
Date: 12/18/2019
General Securities Representative ExaminationCurrent Firm
EDELMAN FINANCIAL ENGINES
CRD#: 104510 / SEC#: 801-55196
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,552,934 |
| AUM (Assets Under Management) | $ 292,902,969,770 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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