AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
BS

Brian M. Spatola

LADENBURG THALMANN & CO.
Boca Raton, FL 33431
Some features on this profile are disabled
CRD#: 2773548
BS

Professional summary

Brian Michael Spatola is a registered financial professional currently at LADENBURG THALMANN & CO. INC. located in Boca Raton, Florida.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2001. Brian has worked at 3 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 14, Series 4, Series 53, Series 10, Series 9 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian Michael Spatola'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

July 9, 2007 - Present

LADENBURG THALMANN & CO. INC.

Office #1: 2255 Glades Road, Suite 324a, Boca Raton, FL 33431
BD
CRD#: 505
Boca Raton, FL
Past

June 14, 2005 - July 16, 2007

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
BOCA RATON, FL
Past

August 16, 2001 - June 10, 2005

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(7/9/2007)
RR
Alaska
(7/9/2007)
RR
Arizona
(7/9/2007)
RR
Arkansas
(7/9/2007)
RR
California
(7/9/2007)
RR
Colorado
(7/9/2007)
RR
Connecticut
(7/9/2007)
RR
Delaware
(7/9/2007)
RR
District of Columbia
(7/9/2007)
RR
Florida
(7/9/2007)
RR
Georgia
(7/9/2007)
RR
Hawaii
(7/9/2007)
RR
Idaho
(7/9/2007)
RR
Illinois
(7/9/2007)
RR
Indiana
(7/9/2007)
RR
Iowa
(7/9/2007)
RR
Kansas
(7/9/2007)
RR
Kentucky
(7/9/2007)
RR
Louisiana
(7/9/2007)
RR
Maine
(7/9/2007)
RR
Maryland
(7/9/2007)
RR
Massachusetts
(7/9/2007)
RR
Michigan
(7/9/2007)
RR
Minnesota
(7/9/2007)
RR
Mississippi
(7/9/2007)
RR
Missouri
(7/9/2007)
RR
Montana
(7/9/2007)
RR
Nebraska
(7/9/2007)
RR
Nevada
(7/9/2007)
RR
New Hampshire
(7/9/2007)
RR
New Jersey
(7/9/2007)
RR
New Mexico
(7/9/2007)
RR
New York
(7/9/2007)
RR
North Carolina
(7/9/2007)
RR
North Dakota
(7/9/2007)
RR
Ohio
(7/10/2007)
RR
Oklahoma
(7/9/2007)
RR
Oregon
(7/9/2007)
RR
Pennsylvania
(7/9/2007)
RR
Puerto Rico
(7/9/2007)
RR
Rhode Island
(7/9/2007)
RR
South Carolina
(7/9/2007)
RR
South Dakota
(7/9/2007)
RR
Tennessee
(1/8/2014)
RR
Texas
(7/9/2007)
RR
Utah
(7/9/2007)
RR
Vermont
(7/9/2007)
RR
Virginia
(7/9/2007)
RR
Washington
(7/9/2007)
RR
West Virginia
(7/9/2007)
RR
Wisconsin
(7/9/2007)
RR
Wyoming
(7/9/2007)

Exams

State Security Law Exam
RR
Series 63
Date: 12/19/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 12/13/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/19/2022
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/15/2021
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 2/23/2009
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/19/2007
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/24/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

LADENBURG THALMANN & CO. INC.
LADENBURG THALMANN & CO. INC.
LADENBURG THALMANN & CO. INC. | LADENBURG, THALMANN & CO., INC.

CRD#: 505 / SEC#: , 8-17230

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
640 5th Avenue 4th Floor, New York, NY 10019
Mailing Address
640 5th Avenue 4th Floor, New York, NY 10019
Phone number
(212) 409-2000
Established
Delaware since 12/03/1971
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OSAIC HOLDINGS, INC.OWNER
BLANCATO, PHILIP SALVATOREEXECUTIVE VICE PRESIDENT, DIRECTOR2122221
GIDEON, MICHAEL RDIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER5315304
GIOVANNIELLO, JOSEPHSVP/GENERAL COUNSEL/ASSISTANT SECRETARY3086071
MITCHELL, CHRISTOPHER MILLSTREASURER AND FINANCIAL OPERATIONS PRINCIPAL2420144
PRICE, JAMES DALECHAIRMAN1243224
SCHLUETER, MATTHEW ADAMEXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS2627931
SPATOLA, BRIAN MICHAELCHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL2773548
STEINER, BARRY EVANDIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR2775629

Disclosures

Regulatory Event36
Arbitration14

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

LADENBURG THALMANN & CO. INC.

LADENBURG THALMANN & CO. INC.

CRD#: 505Boca Raton, FL 33431

TRUST BUT VERIFY

Monitor Brian Spatola

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Charles Andrew Fischer
Charles FischerAdvisorCheck Check Mark
RAYMOND JAMES & ASSOCIATES, INC.
IAR
RR
Boca Raton, FL
JF
John FrickerAdvisorCheck Check Mark
EQUITABLE ADVISORS, LLC
IAR
RR
Ft. Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.