Robert L. Spawn
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.
Robert Leighton Spawn was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1973. Robert 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 16, 2010 - January 25, 2012
KESTRA INVESTMENT SERVICES, LLC
June 15, 2006 - April 13, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
May 6, 2004 - August 2, 2005
TOWER SQUARE SECURITIES, INC.
July 16, 2002 - March 15, 2004
HIMCO DISTRIBUTION SERVICES COMPANY
October 12, 2001 - April 29, 2002
CAPITAL MARKETS AMERICA, INC.
February 28, 1996 - September 28, 2001
HIMCO DISTRIBUTION SERVICES COMPANY
August 28, 1995 - February 5, 1996
NATHAN & LEWIS SECURITIES, INC.
May 7, 1990 - August 11, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 7, 1990 - August 11, 1994
SIGNATOR INVESTORS, INC.
May 7, 1986 - April 20, 1990
MONY SECURITIES CORPORATION
April 10, 1973 - April 12, 1985
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
April 10, 1973 - April 20, 1990
MONY SECURITIES CORPORATION
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: 4/5/1973
Registered Representative ExaminationCurrent Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
