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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.

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BS

Bayard W. Spector

Some features on this profile are disabled
CRD#: 2931747
BS

Professional summary

Bayard William Spector was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Bayard is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Bayard had worked at 1 firm, which includes AMERICAN FIRST CAPITAL CORP..

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 14, 2000 - September 8, 2000

AMERICAN FIRST CAPITAL CORP.

BD
CRD#: 43751
MIAMI, FL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 11/29/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/18/2000
General Securities Principal Examination

Current Firm

AF
AMERICAN FIRST CAPITAL CORP.
AMERICAN FIRST CAPITAL CORP.

CRD#: 43751 / SEC#: , 8-50396

BD
Terminated by SEC on 11/07/2000
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 04/10/1997
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SPECTOR, BAYARD WILLIAMCHAIRMAN / OWNER/2931747
BETHART, LUIS ANTONIOOWNER1238232
DUFFY, PAUL KEVINMUNICIPAL PRINCIPAL1681737
GUSTAFSON, PETER HAROLDCHIEF COMPLIANCE OFFICER/ EXECUTIVE VP.3115373
SARMIENTO, LUIS GUILLERMOCEO/FINOP828824

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

AMERICAN FIRST CAPITAL CORP.

CRD#: 43751

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