Kirk Spano

BLUEMOUND ASSET MANAGEMENT

Franklin, WI

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CRD#: 2750933

Professional summary

Kirk Spano is a registered financial advisor currently at BLUEMOUND ASSET MANAGEMENT, LLC located in Franklin, Wisconsin.

Kirk is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Kirk has worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 62 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) FREELANCE COLUMNIST/WRITER FOR VARIOUS FINANCIAL PUBLICATIONS INCLUDING MARKETWATCH OF THE WALL STREET JOURNAL AND SEEKING ALPHA; INVESTMENT-RELATED. 2) KIRK SPANO PUBLISHING; INVESTMENT-RELATED; PUBLISHER OF INVESTMENT LETTER FOR SELF-DIRECTED INVESTORS; AUTHOR AND PUBLISHER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kirk Spano'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

July 6, 2010 - Present

BLUEMOUND ASSET MANAGEMENT, LLC

RIA

CRD#: 153995

Franklin, WI

Past

December 14, 2009 - September 15, 2010

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

ELM GROVE, WI

Past

February 13, 2007 - September 3, 2010

ANNEX WEALTH MANAGEMENT, LLC

RIA

CRD#: 127987

ELM GROVE, WI

Past

November 6, 1997 - December 11, 2009

SII INVESTMENTS, INC.

RIA

CRD#: 2225

ELM GROVE, WI

Past

July 2, 1996 - December 11, 2009

SII INVESTMENTS, INC.

CRD#: 2225

ELM GROVE, WI

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

Texas
(5/18/2020)

IAR

Wisconsin
(7/6/2010)

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: 7/28/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/9/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/6/1997

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 7/16/1996

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 7/1/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BLUEMOUND ASSET MANAGEMENT, LLC

BLUEMOUND ASSET MANAGEMENT, LLC | BLUEMOUND INVESTMENT ADVISORS, LLC

CRD#: 153995 / SEC#:

Texas

Registered Investment Advisory firm - (5/18/2020 Conditional Restricted)

Wisconsin

Registered Investment Advisory firm - (6/30/2010 Approved)

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Contact information

Main Address

Franklin, WI

Mailing Address

P.o. Box 8, Muskego, WI 53150

Phone number

(414) 617-6669

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	41
AUM (Assets Under Management)	$ 16,000,000

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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Kirk Spano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kirk Spano's CRS (Customer Relationship Summary).

Certified licenses

Experience

GROVE POINT INVESTMENTS, LLC

ANNEX WEALTH MANAGEMENT, LLC

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/28/1997

Series 63

Date: 7/9/1996

Series 7

Date: 11/6/1997

Series 62

Date: 7/16/1996

Series 6

Date: 7/1/1996

Current Firm

BLUEMOUND ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BLUEMOUND ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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