Stephen L. Spear
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.
Stephen L Spear, who also goes by Stephen Leroy Spear, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2002. Stephen had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 28, 2026 - July 1, 2026
MISSIONSQUARE WEALTH MANAGEMENT
April 27, 2026 - July 1, 2026
MISSIONSQUARE RETIREMENT
August 23, 2024 - May 6, 2025
OSAIC WEALTH, INC.
April 22, 2022 - May 5, 2025
GALLAGHER FIDUCIARY ADVISORS, LLC
March 30, 2022 - August 23, 2024
TRIAD ADVISORS LLC
November 2, 2017 - March 31, 2022
KESTRA INVESTMENT SERVICES, LLC
October 20, 2017 - March 31, 2022
KESTRA ADVISORY SERVICES, LLC
July 21, 2015 - January 27, 2017
PENSION CONSULTANTS INC
June 4, 2015 - November 2, 2015
SECURITIES SERVICE NETWORK, LLC
December 5, 2014 - April 22, 2015
BMO INVESTMENT DISTRIBUTORS, LLC
August 1, 2012 - January 30, 2015
BMO HARRIS FINANCIAL ADVISORS, INC.
November 18, 2008 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
December 12, 2003 - February 4, 2008
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
October 30, 2002 - December 12, 2003
AMERICAN CENTURY INVESTMENT SERVICES INC.
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
Current Firm
MISSIONSQUARE WEALTH MANAGEMENT
CRD#: 23189 / SEC#: , 8-40268
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION D/B/A MISSIONSQUARE RETIREMENT | MEMBER/OWNER | |
| GANEY, PETER DAVIDSON | MANAGER | 2282691 |
| HOGENDORN, SHANNON DANIEL | CHIEF OPERATIONS OFFICER | 3221945 |
| HOGENDORN, SHANNON DANIEL | PRESIDENT & PRINCIPAL MANAGER | 3221945 |
| RICHARDS, CLIFF LAWRENCE | CHIEF COMPLIANCE OFFICER | 2974428 |
| WHITTY, RICHARD PATRICK | TREASURER/FINOP | 1988149 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
