Curtis Lavell Spears
Professional Summary
This is a previously registered financial professional. Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA. Curtis Spears draws on long experience at Andes Capital Group in Chicago (registered there since January 2014). He holds multiple securities licenses (Series 6, 7, SIE, 79, 99) and principal credentials (Series 24, 14), and is approved by FINRA and registered in many U.S. states including...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
ANDES CAPITAL GROUP, LLC
Contact Information
Main Address
205 West Wacker Drive Suite 610, Chicago, IL 60606Mailing Address
205 West Wacker Drive Suite 610, Chicago, IL 60606Phone Number
(312) 376-4500Established
Illinois since 08/03/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(3/28/2022)
(1/26/2022)
(9/4/2018)
(10/12/2018)
(6/5/2014)
(8/27/2018)
(8/23/2018)
(6/29/2022)
(8/30/2018)
(10/8/2015)
(2/9/2022)
(9/14/2018)
(1/31/2022)
(7/23/2014)
(2/16/2022)
(1/12/2022)
(1/26/2022)
(1/19/2022)
(8/13/2018)
(1/28/2022)
(9/18/2018)
(10/26/2018)
(4/20/2017)
(3/28/2022)
(1/11/2022)
(4/18/2022)
(1/26/2022)
(2/8/2022)
(8/14/2018)
(9/13/2018)
(8/6/2014)
(10/1/2018)
(9/15/2014)
(8/14/2018)
(2/2/2022)
(1/19/2022)
(1/13/2022)
(9/12/2018)
(1/14/2022)
(1/26/2022)
(1/18/2022)
(3/16/2022)
(1/14/2022)
(1/4/2026)
(5/7/2015)
(9/24/2018)
(1/31/2022)
(2/16/2022)
(8/6/2014)
(8/30/2018)
(1/24/2022)
(1/14/2022)
(1/31/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Feb 2000About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Curtis Lavell Spears's CRS (Customer Relationship Summary).
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