Billy W. Spain
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.
Billy Wayne Spain SR, who also goes by Billy Wayne Spain, was a registered financial advisor .
Billy is a previously registered financial advisor and started their career in finance in 1968. Billy had worked at 9 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2004 - November 22, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 16, 2004 - November 22, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 13, 2002 - July 2, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 4, 1999 - July 2, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 8, 1991 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
May 29, 1990 - September 4, 1991
MADISON CAPITAL CORP.
November 27, 1987 - October 15, 2003
VERAVEST INVESTMENTS, INC.
November 6, 1987 - April 10, 1990
IPI SECURITIES, INC.
September 22, 1986 - October 16, 1987
UNITED CAPITAL SECURITIES, INC.
September 25, 1985 - September 12, 1986
KEOGLER, MORGAN & COMPANY, INC.
April 15, 1985 - October 8, 1985
SOURCE SECURITIES, INC.
December 2, 1982 - April 23, 1985
UNITED CAPITAL SECURITIES, INC.
October 27, 1969 - November 24, 1982
VERAVEST INVESTMENTS, INC.
December 10, 1968 - October 27, 1983
ALLMERICA FINANCIAL LIFE INSURANCE AND ANNUITY COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 12/4/1968
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
