Donald G. Spradling

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CRD#: 432507

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 Gary Spradling, who also goes by Donald Gary Spradling, was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1962. Donald had worked at 6 firms and has passed the Series 65, Series 63, PC, Series 1, Series 53, Series 24 and Series 12 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Donald Gary Spradling

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

January 1, 2006 - November 19, 2012

LAUTERBACH FINANCIAL ADVISORS, LLC

RIA

CRD#: 114431

EL PASO, TX

Past

January 4, 1999 - November 14, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

January 2, 1996 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

December 18, 1987 - January 3, 1996

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

Past

May 13, 1981 - January 1, 1988

ROTAN MOSLE INC.

CRD#: 727

Past

October 5, 1962 - May 13, 1981

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

LAUTERBACH FINANCIAL ADVISORS, LLC

CRD#: 114431 / SEC#: 801-64326

RIA

Registered Investment Advisory firm - (6/6/2005 Approved)

Texas

Registered Investment Advisory firm - (6/21/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/30/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/20/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

PC

Date: 8/31/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 11/29/1960

Registered Representative Examination

Principal/Supervisory Exam

Series 53

Date: 10/28/1983

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/14/1983

General Securities Principal Examination

Principal/Supervisory Exam

Series 12

Date: 1/15/1969

NYSE Branch Manager Examination

Current Firm

LAUTERBACH FINANCIAL ADVISORS, LLC

CRD#: 114431 / SEC#: 801-64326

RIA

Registered Investment Advisory firm - (6/6/2005 Approved)

Texas

Registered Investment Advisory firm - (6/21/2005 Terminated)

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Contact information

Main Address

4130 Rio Bravo Street, El Paso, TX 79902

Mailing Address

Phone number

(915) 544-6950

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LAUTERBACH FINANCIAL ADVISORS FORM ADV PART 2A (4/17/2025)

Regulatory assets under management

Total Number of Accounts	1,003
AUM (Assets Under Management)	$ 590,638,330

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.

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Firm Stability Insights

Donald G. Spradling

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

PRINCIPAL FINANCIAL SECURITIES,INC.

ROTAN MOSLE INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

LAUTERBACH FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/30/1997

Series 63

Date: 8/20/1980

PC

Date: 8/31/1977

Series 1

Date: 11/29/1960

Series 53

Date: 10/28/1983

Series 24

Date: 10/14/1983

Series 12

Date: 1/15/1969

Current Firm

LAUTERBACH FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LAUTERBACH FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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