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SI

Stacey M. Iscaro

Some features on this profile are disabled
CRD#: 4298923
SI

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Stacey Marie Iscaro, who also goes by Stacey James Iscaro, Stacey Marie James, Stacey James, was a registered financial professional .

Stacey is a previously registered financial professional and started their career in finance in 2001. Stacey had worked at 5 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 16, 2021 - November 6, 2025

CANNELL & SPEARS LLC

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

PLP CAPITAL

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.

Visual representation of state registrations

This advisor is not registered in any state.

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)
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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#: 142633

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