CS
Curtis L. Spears
ANDES CAPITAL GROUP
Chicago, IL 60606
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CRD#: 4117812
CS
Professional summary
Curtis Lavell Spears is a registered financial professional currently at ANDES CAPITAL GROUP, LLC located in Chicago, Illinois.
Curtis is registered as a RR (Registered Representative) and started their career in finance in 2000. Curtis has worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 6, Series 14 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Curtis Lavell Spears'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®
NoneExperience
Current
January 17, 2014 - Present
ANDES CAPITAL GROUP, LLC
Office #1: 205 West Wacker Drive Suite 610, Chicago, IL 60606Office #2: 205 West Wacker Drive Suite 610, Chicago, IL 60606Office #3: 5200 Wilshire Blvd. Suite 560, Los Angeles, CA 90036BD
CRD#: 139212
Chicago, IL
Past
October 10, 2013 - March 19, 2014
PENSERRA SECURITIES, LLC
BD
CRD#: 145994
ORINDA, CA
Past
July 1, 2009 - February 16, 2012
GARDNER RICH, L.L.C.
BD
CRD#: 23681
CHICAGO, IL
Past
January 2, 2008 - June 19, 2009
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
BD
CRD#: 144464
DENVER, CO
Past
May 15, 2007 - December 31, 2007
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
DENVER, CO
Past
November 10, 2006 - May 11, 2007
FORESIDE DISTRIBUTION SERVICES, L.P.
BD
CRD#: 15634
PORTLAND, ME
Past
February 23, 2000 - March 10, 2005
NORTHERN TRUST SECURITIES, INC.
BD
CRD#: 7927
CHICAGO, IL
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(3/28/2022)
RR
Alaska(1/26/2022)
RR
Arizona(9/4/2018)
RR
Arkansas(10/12/2018)
RR
California(6/5/2014)
RR
Colorado(8/27/2018)
RR
Connecticut(8/23/2018)
RR
Delaware(6/29/2022)
RR
District of Columbia(8/30/2018)
RR
Florida(10/8/2015)
RR
Georgia(2/9/2022)
RR
Hawaii(9/14/2018)
RR
Idaho(1/31/2022)
RR
Illinois(7/23/2014)
RR
Indiana(2/16/2022)
RR
Iowa(1/12/2022)
RR
Kansas(1/26/2022)
RR
Kentucky(1/19/2022)
RR
Louisiana(8/13/2018)
RR
Maine(1/28/2022)
RR
Maryland(9/18/2018)
RR
Massachusetts(10/26/2018)
RR
Michigan(4/20/2017)
RR
Minnesota(3/28/2022)
RR
Mississippi(1/11/2022)
RR
Missouri(4/18/2022)
RR
Montana(1/26/2022)
RR
Nebraska(2/8/2022)
RR
Nevada(8/14/2018)
RR
New Hampshire(9/13/2018)
RR
New Jersey(8/6/2014)
RR
New Mexico(10/1/2018)
RR
New York(9/15/2014)
RR
North Carolina(8/14/2018)
RR
North Dakota(2/2/2022)
RR
Ohio(1/19/2022)
RR
Oklahoma(1/13/2022)
RR
Oregon(9/12/2018)
RR
Pennsylvania(1/14/2022)
RR
Puerto Rico(1/26/2022)
RR
Rhode Island(1/18/2022)
RR
South Carolina(3/16/2022)
RR
South Dakota(1/14/2022)
RR
Texas(5/7/2015)
RR
Utah(9/24/2018)
RR
Vermont(1/31/2022)
RR
Virgin Islands(2/16/2022)
RR
Virginia(8/6/2014)
RR
Washington(8/30/2018)
RR
West Virginia(1/24/2022)
RR
Wisconsin(1/14/2022)
RR
Wyoming(1/31/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AC
ANDES CAPITAL GROUP, LLC
ANDES CAPITAL GROUP, LLC
CRD#: 139212 / SEC#: , 8-67202
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
205 West Wacker Drive Suite 610, Chicago, IL 60606
Mailing Address
205 West Wacker Drive Suite 610, Chicago, IL 60606
Phone number
(312) 376-4500
Established
Illinois since 08/03/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 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.
