AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SI

Stacey M. Iscaro

CANNELL & SPEARS LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 4298923
SI

Professional summary

Stacey Marie Iscaro, who also goes by Stacey James Iscaro, Stacey Marie James, Stacey James, is a registered financial advisor currently at CANNELL & SPEARS LLC located in New York, New York.

Stacey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Stacey has worked at 5 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Stacey James Iscaro | Stacey Marie James | Stacey James

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) Spears Abacus Advisors LLC; Investment Related; New York, NY; Investments; Operations; Start 02/2009; 160hrs per month with 140 during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stacey Marie Iscaro'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

August 16, 2021 - Present

CANNELL & SPEARS LLC

Office #1: 535 Madison Avenue 14th Floor, New York, NY 10022
RIA
CRD#: 142633
NEW YORK, NY
Past

February 1, 2011 - December 31, 2021

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
NEW YORK, NY
Past

October 3, 2007 - May 5, 2009

TRIBAL CAPITAL MARKETS, LLC

BD
CRD#: 38901
ORLANDO, FL
Past

April 20, 2005 - October 13, 2005

RESRV PARTNERS, INC.

BD
CRD#: 10273
NEW YORK, NY
Past

June 13, 2001 - November 22, 2004

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

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".
C&
CANNELL & SPEARS LLC
CANNELL & SPEARS LLC | WG SPEARS LLC | SPEARS ABACUS ADVISORS LLC

CRD#: 142633 / SEC#: 801-67401

RIA
Registered Investment Advisory firm - (1/3/2007 Approved)

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
New York
(8/16/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 10/8/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/2/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/12/2001
General Securities Representative Examination

Current Firm

C&
CANNELL & SPEARS LLC
CANNELL & SPEARS LLC | WG SPEARS LLC | SPEARS ABACUS ADVISORS LLC

CRD#: 142633 / SEC#: 801-67401

RIA
Registered Investment Advisory firm - (1/3/2007 Approved)
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
535 Madison Avenue 14th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 752-5255
Established
Firm type
Fiscal year end
# of Employees
41

SEC notice filing (29 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIRM BROCHURE AND BROCHURE SUPPLEMENT (5/22/2025)

Regulatory assets under management

Total Number of Accounts2,486
AUM (Assets Under Management)$ 6,316,371,000

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/11/2025
Cover Page
Report
03/13/2025
Cover Page
Report
03/13/2025
Cover Page
Report
03/13/2025
Cover Page
Report
03/13/2025
Cover Page
Report
05/23/2023
Cover Page
Report

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.

Company Information

CANNELL & SPEARS LLC

CRD#: 142633New York, NY 10022

TRUST BUT VERIFY

Monitor Stacey Iscaro

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.