Jonathan M. Spatz

LIFEWORKS ADVISORS

HICKORY, NC 28601

Some features on this profile are disabled

CRD#: 4161821

Professional summary

Jonathan Moser Spatz, who also goes by Jonathan Spatz, is a registered financial advisor currently at LIFEWORKS ADVISORS, LLC located in Hickory, North Carolina.

Jonathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Jonathan has worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jonathan Spatz

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.) EPIC INCOME ADVISORS; NON-INVESTMENT RELATED; 2571 SPRINGS RD NE, HICKORY, NC, 28601; INSURANCE SERVICES; OWNER/CEO; STARTING: 2/2016; APPROXIMATELY 10 HOURS/MONTH; COMMISSIONABLE INSURANCE SALES. 2.) SPATZ DELMONICO LLC; NON-INVESTMENT RELATED; 2571 SPRINGS RD NE, HICKORY, NC, 28601; INSURANCE SERVICES; OWNER/INSURANCE AGENT. STARTING: 5/2020; APPROXIMATELY 5 HOURS PER MONTH. COMMISSIONABLE INSURANCE SALES 3.) BENEFIT SOLUTIONS INC; NON-INVESTMENT RELATED; 5593 37th St NE, HICKORY, NC. 28601; HEALTH INSURANCE BROKER AND TPA; INSURANCE AGENT; STARTING: 1/2015; APPROXIMATELY 5 HOURS PER MONTH. HEALTH INSURANCE REFERRALS AND CLIENT RELATIONSHIP MANAGEMENT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Moser Spatz's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 1, 2023 - Present

LIFEWORKS ADVISORS, LLC

Office #1: 2571 Springs Rd Ne, Hickory, NC 28601

RIA

CRD#: 288255

HICKORY, NC

Past

April 29, 2022 - February 24, 2023

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

Hickory, NC

Past

May 27, 2021 - June 14, 2022

INSIGHT FOLIOS

RIA

CRD#: 174411

Hickory, NC

Past

August 13, 2019 - May 26, 2021

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

HICKORY, NC

Past

August 13, 2019 - May 26, 2021

BROOKSTONE ASSET MANAGEMENT, LLC

RIA

CRD#: 153467

HICKORY, NC

Past

September 7, 2016 - September 12, 2019

EPIC FINANCIAL ADVISORS LLC

RIA

CRD#: 281853

HICKORY, NC

Past

December 23, 2013 - September 2, 2016

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

HICKORY, NC

Past

December 18, 2013 - September 2, 2016

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

HICKORY, NC

Past

May 13, 2008 - December 23, 2013

WFG ADVISORS, LP

RIA

CRD#: 125073

HICKORY, NC

Past

November 22, 2005 - December 31, 2007

CAROLINA INVESTMENT ADVISORS, LLC

RIA

CRD#: 131591

HICKORY, NC

Past

July 5, 2005 - December 23, 2013

WFG INVESTMENTS, INC.

CRD#: 22704

HICKORY, NC

Past

January 18, 2005 - July 12, 2005

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

HICKORY, NC

Past

January 18, 2005 - July 12, 2005

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

Past

May 21, 2004 - January 6, 2005

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

HICKORY, NC

Past

May 19, 2000 - January 6, 2005

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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".

LIFEWORKS ADVISORS, LLC

CRD#: 288255 / SEC#: 801-119648

RIA

Registered Investment Advisory firm - (10/14/2020 Approved)

Florida

Registered Investment Advisory firm - (10/15/2020 Terminated)

Louisiana

Registered Investment Advisory firm - (10/20/2020 Terminated)

Michigan

Registered Investment Advisory firm - (11/12/2020 Terminated)

Texas

Registered Investment Advisory firm - (10/15/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/15/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

North Carolina
(3/1/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/20/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/25/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/18/2000

General Securities Representative Examination

Current Firm

LIFEWORKS ADVISORS, LLC

CRD#: 288255 / SEC#: 801-119648

RIA

Registered Investment Advisory firm - (10/14/2020 Approved)

Florida

Registered Investment Advisory firm - (10/15/2020 Terminated)

Louisiana

Registered Investment Advisory firm - (10/20/2020 Terminated)

Michigan

Registered Investment Advisory firm - (11/12/2020 Terminated)

Texas

Registered Investment Advisory firm - (10/15/2020 Terminated)

Wisconsin

Registered Investment Advisory firm - (10/15/2020 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4095 Park East Ct. Ste. C, Grand Rapids, MI 49546

Mailing Address

Phone number

(616) 200-6512

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LIFEWORKS DISCLOSURE BROCHURE, WRAP FEE PROGRAM BROCHURE, BROCHURE SUPPLEMENTS, AND PRIVACY POLICY (9/23/2025)

Regulatory assets under management

Total Number of Accounts	3,785
AUM (Assets Under Management)	$ 742,298,024

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.

Similar Advisors

Mark Downey

RAYMOND JAMES & ASSOCIATES, INC.

IAR

Rochester, NY

Andrew Digirolamo

PFS INVESTMENTS INC.

Charlotte, NC

Johnkarl Council

EQUITABLE ADVISORS, LLC

NEW YORK, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jonathan M. Spatz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jonathan Moser Spatz's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROOKSTONE WEALTH ADVISORS, LLC

INSIGHT FOLIOS

BROOKSTONE WEALTH ADVISORS, LLC

BROOKSTONE ASSET MANAGEMENT, LLC

EPIC FINANCIAL ADVISORS LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

WFG ADVISORS, LP

CAROLINA INVESTMENT ADVISORS, LLC

WFG INVESTMENTS, INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

LIFEWORKS ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/20/2004

Series 63

Date: 5/25/2000

SIE

Date: 9/2/2016

Series 7

Date: 5/18/2000

Current Firm

LIFEWORKS ADVISORS, LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LIFEWORKS ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors