HS
Henry A. Spain
STRATOS WEALTH ADVISORS LLC
Pepper Pike, OH 44122
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CRD#: 431254
HS
Professional summary
Henry Allen Spain, who also goes by Hank Spain, is a registered financial advisor currently at STRATOS WEALTH ADVISORS LLC located in Pepper Pike, Ohio.
Henry is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1974. Henry has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 15, PC, Series 7, Series 1, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Hank Spain
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) - RIA
Click below to view Henry Allen Spain'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
April 10, 2024 - Present
STRATOS WEALTH ADVISORS LLC
Office #1: 29525 Chagrin Blvd, Suite 305, Pepper Pike, OH 44122RIA
CRD#: 283816
Pepper Pike, OH
Past
October 26, 2021 - April 15, 2024
CARNEGIE INVESTMENT COUNSEL
RIA
CRD#: 150488
PEPPER PIKE, OH
Past
October 1, 1999 - October 29, 2021
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PEPPER PIKE, OH
Past
October 1, 1999 - October 29, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PEPPER PIKE, OH
Past
November 16, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
October 22, 1990 - December 4, 1998
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
Past
September 23, 1980 - December 4, 1998
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 4, 1979 - October 2, 1980
BUTCHER & SINGER INC.
BD
CRD#: 6517
Past
March 8, 1977 - July 1, 1979
GENERAL AMERICAN LIFE INSURANCE COMPANY
BD
CRD#: 3963
Past
February 7, 1974 - October 12, 1976
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
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".
SW
STRATOS WEALTH ADVISORS LLC
A. CARMI FINANCIAL, INC. | YOUNG AMERICAN WEALTH MANAGEMENT | WOZNY CAPITAL ADVISORS, LLC | VERITAS BOSTON WEALTH MANAGEMENT | TRUE NORTH WEALTH PARTNERS | THE RETIREMENT CORPORATION OF AMERICA | THE LOWRIE WEALTH MANAGEMENT GROUP | TAMARACK TRAIL INVESTMENT PARTNERS | SYNERGY WEALTH MANAGEMENT | STRATOS WEALTH ADVISORS LLC | SPAIN & SMITH WEALTH ADVISORS | RIVERVIEW WEALTH PARTNERS | RIVERBEND WEALTH MANAGEMENT | RETIREMENT CORPORATION OF AMERICA | RENO TAHOE WEALTH MANAGEMENT | PURPOSEFUL WEALTH | PISTONE WEALTH ADVISORS | PIERCE WEALTH PARTNERS | PARK EDGE ADVISORS | PALATINE HILL, LLC | NILSEN FINANCIAL SERVICES, LLC | NEXTIER WEALTH MANAGEMENT | NEW VIEW WEALTH ADVISORY | MCCANN WEALTH MANAGEMENT | MAJIED FINANCIAL GROUP, LLC | KYROS WEALTH MANAGEMENT | KOWAL FINANCIAL ADVISORS | JF WEALTH MANAGEMENT, LLC | INVESSENT WEALTH MANAGEMENRT | INTERSECTING WEALTH, LLC | GIERL AUGUSTINE INVESTMENT MANAGEMENT | GENERATIONS INVESTMENT MANAGEMENT | GA INVESTMENT MANAGEMENT | FREITAS WEALTH MANAGEMENT GROUP | FLAGSHIP FINANCIAL ADVISORS | FELLER WEALTH MANAGEMENT | EMERITUS WEALTH MANAGEMENT | CLAPBOARD HILL PRIVATE WEALTH | CENTURY WEALTH PARTNERS | BARNWOOD CAPITAL | AUGUST WEALTH ADVISORS | ACMEJACKWEALTHMANAGEMENT
CRD#: 283816 / SEC#: 801-108211
RIA
Registered Investment Advisory firm - (8/15/2016 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
Ohio(4/10/2024)
IAR
Texas(4/10/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 3/7/1983
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 10/27/1979
AMEX Put and Call ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 2/2/1974
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
SW
STRATOS WEALTH ADVISORS LLC
A. CARMI FINANCIAL, INC. | YOUNG AMERICAN WEALTH MANAGEMENT | WOZNY CAPITAL ADVISORS, LLC | VERITAS BOSTON WEALTH MANAGEMENT | TRUE NORTH WEALTH PARTNERS | THE RETIREMENT CORPORATION OF AMERICA | THE LOWRIE WEALTH MANAGEMENT GROUP | TAMARACK TRAIL INVESTMENT PARTNERS | SYNERGY WEALTH MANAGEMENT | STRATOS WEALTH ADVISORS LLC | SPAIN & SMITH WEALTH ADVISORS | RIVERVIEW WEALTH PARTNERS | RIVERBEND WEALTH MANAGEMENT | RETIREMENT CORPORATION OF AMERICA | RENO TAHOE WEALTH MANAGEMENT | PURPOSEFUL WEALTH | PISTONE WEALTH ADVISORS | PIERCE WEALTH PARTNERS | PARK EDGE ADVISORS | PALATINE HILL, LLC | NILSEN FINANCIAL SERVICES, LLC | NEXTIER WEALTH MANAGEMENT | NEW VIEW WEALTH ADVISORY | MCCANN WEALTH MANAGEMENT | MAJIED FINANCIAL GROUP, LLC | KYROS WEALTH MANAGEMENT | KOWAL FINANCIAL ADVISORS | JF WEALTH MANAGEMENT, LLC | INVESSENT WEALTH MANAGEMENRT | INTERSECTING WEALTH, LLC | GIERL AUGUSTINE INVESTMENT MANAGEMENT | GENERATIONS INVESTMENT MANAGEMENT | GA INVESTMENT MANAGEMENT | FREITAS WEALTH MANAGEMENT GROUP | FLAGSHIP FINANCIAL ADVISORS | FELLER WEALTH MANAGEMENT | EMERITUS WEALTH MANAGEMENT | CLAPBOARD HILL PRIVATE WEALTH | CENTURY WEALTH PARTNERS | BARNWOOD CAPITAL | AUGUST WEALTH ADVISORS | ACMEJACKWEALTHMANAGEMENT
CRD#: 283816 / SEC#: 801-108211
RIA
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Contact information
Main Address
3750 Park East Drive Suite 200, Beachwood, OH 44122
Mailing Address
Phone number
(440) 519-2500
Established
Firm type
Fiscal year end
# of Employees
181
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,432 |
| AUM (Assets Under Management) | $ 4,905,828,030 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
