Daryl A. Spirka
WILLIAMS FINANCIAL
NORTH BENNINGTON, VT 05257
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CRD#: 4006179
Professional summary
Daryl Ann Spirka, CFP®, who also goes by Daryl A Redin, Daryl A Spirka, is a registered financial advisor currently at WILLIAMS FINANCIAL, LLC located in North Bennington, Vermont.
Daryl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Daryl has worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
What are your service offerings?
Tax Planning
Business Succession Planning
Retirement Planning
Comprehensive Financial Planni...
Investment Planning
Small Business Planning
Do you have an area of expertise or specialization?
Business Owners
Investment Advice with Ongoing...
Investment Advice without Ongo...
Retirement Plan Investment Adv...
Retirement Planning & Distribu...
Tax Planning
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
Yes
Aliases
Daryl A Redin | Daryl A Spirka
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)PASSION 4 SPORTS; WILMINGTON, VT; NON INVESTMENT RELATED; SALES OF SPORTING GOODS, UNIFORMS, AND EQUIPMENT; SOLE PROP.; 100% OWNER; 9/1/04; 10-12 HRS/MTH.
CRS (Client Relationship Summary) - RIA
Click below to view Daryl Ann Spirka'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®
CFP®
Start date: 2005
Experience
Current
February 20, 2015 - Present
WILLIAMS FINANCIAL, LLC
Office #1: 12 Main Street, North Bennington, VT 05257Office #2: 14 Monument Square Suite 303a, Leominster, MA 01453RIA
CRD#: 137038
NORTH BENNINGTON, VT
Past
October 30, 2000 - December 11, 2009
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
BENNINGTON, VT
Past
October 6, 1999 - December 11, 2009
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
WILMINGTON, VT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WILLIAMS FINANCIAL, LLC
WILLIAMS FINANCIAL MANAGEMENT, LLC | WILLIAMS FINANCIAL, LLC
CRD#: 137038 / SEC#: 801-118678
RIA
Registered Investment Advisory firm - (5/8/2020 Approved)Massachusetts
Registered Investment Advisory firm - (7/21/2020 Terminated)New Hampshire
Registered Investment Advisory firm - (12/31/2019 Terminated)New York
Registered Investment Advisory firm - (7/21/2020 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/19/2019 Terminated)South Carolina
Registered Investment Advisory firm - (12/18/2019 Terminated)Texas
Registered Investment Advisory firm - (7/21/2020 Terminated)Vermont
Registered Investment Advisory firm - (7/21/2020 Terminated)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
Massachusetts(5/3/2017)
IAR
New York(7/13/2021)
IAR
Texas(3/12/2019)
IAR
Vermont(2/20/2015)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
WILLIAMS FINANCIAL, LLC
WILLIAMS FINANCIAL MANAGEMENT, LLC | WILLIAMS FINANCIAL, LLC
CRD#: 137038 / SEC#: 801-118678
RIA
Registered Investment Advisory firm - (5/8/2020 Approved)Massachusetts
Registered Investment Advisory firm - (7/21/2020 Terminated)New Hampshire
Registered Investment Advisory firm - (12/31/2019 Terminated)New York
Registered Investment Advisory firm - (7/21/2020 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/19/2019 Terminated)South Carolina
Registered Investment Advisory firm - (12/18/2019 Terminated)Texas
Registered Investment Advisory firm - (7/21/2020 Terminated)Vermont
Registered Investment Advisory firm - (7/21/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
12 Main Street, North Bennington, VT 05257
Mailing Address
P.o. Box 24, North Bennington, VT 05257
Phone number
(866) 986-4469
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 803 |
| AUM (Assets Under Management) | $ 191,095,167 |
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.
