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DS

Donald R. Spongberg

Some features on this profile are disabled
CRD#: 432430
DS

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.

Donald Robert Spongberg, who also goes by Donald R Spongberg, was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1970. Donald had worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donald R Spongberg

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

November 3, 2017 - June 2, 2021

SILVERWOOD PARTNERS

BD
CRD#: 115589
SHERBORN, MA
Past

August 23, 1994 - July 13, 2017

AUGMENT SECURITIES INC.

BD
CRD#: 28373
NEW YORK, NY
Past

October 28, 1993 - August 11, 1994

D. BLECH & COMPANY, INCORPORATED

BD
CRD#: 26063
NEW YORK, NY
Past

October 20, 1992 - October 13, 1993

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

January 31, 1980 - September 28, 1992

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 2, 1980 - January 31, 1980

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

BD
CRD#: 640
Past

August 30, 1978 - January 31, 1980

BLYTH EASTMAN DILLON & CO. INCORPORATED

BD
CRD#: 6361
Past

January 15, 1975 - September 29, 1978

WHITE, WELD & CO. INCORPORATED

BD
CRD#: 6802
Past

November 15, 1974 - January 15, 1975

WHITE, WELD & CO., INCORPORATED

BD
CRD#: 889
Past

June 24, 1974 - December 29, 1974

KIDDER, PEABODY & CO., INCORPORATED

BD
CRD#: 488
Past

September 29, 1970 - July 26, 1974

CLARK, DODGE & CO., INCORPORATED

BD
CRD#: 161

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
IAR
Series 65
Date: 1/19/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/22/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 9/16/1970
Registered Representative Examination

Current Firm

SP
SILVERWOOD PARTNERS
SILVERWOOD PARTNERS | SILVERWOOD PARTNERS LLC

CRD#: 115589 / SEC#: , 8-53495

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
Silverwood Farm Place 32 Pleasant Street, Sherborn, MA 01770
Mailing Address
Silverwood Farm Place 32 Pleasant Street, Sherborn, MA 01770
Phone number
(508) 651-2194
Established
Massachusetts since 07/02/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
HODSONWALKER, JONATHANMANAGING PARTNER/CHIEF COMPLIANCE OFFICER/DIRECTOR OF CORPORATE FINANCE1991163
MCCOY, NICOLAS ALLENMEMBER
SERRA, CARL ANTHONY IIIFINOP3179039

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

SILVERWOOD PARTNERS

CRD#: 115589

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