Dominic M. Spooner
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.
Dominic Martin John Spooner, who also goes by Dominic Spooner, was a registered financial professional .
Dominic is a previously registered financial professional and started their career in finance in 2005. Dominic had worked at 5 firms and has passed the Series 63, SIE and Series 38 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2014 - October 10, 2019
IA SECURITIES (USA) INC.
August 18, 2010 - October 21, 2014
RICHARDSON GMP (USA) CORP.
May 12, 2008 - August 17, 2010
VENTUM FINANCIAL (US) CORP.
September 25, 2007 - April 10, 2008
THOMAS WEISEL PARTNERS (USA) INC.
September 15, 2005 - September 21, 2007
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
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 38
Date: 9/13/2005
Canada Module of the General Securities Registered Representative (Without Options Questions)Current Firm
IA SECURITIES (USA) INC.
CRD#: 135721 / SEC#: , 8-66944
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDUSTRIAL ALLIANCE INSURANCE AND FINANCIAL SERVICES INC | OWNER | |
| SMITH, MICHAEL ROTHWELL | CEO, DIRECTOR & CHIEF COMPLIANCE OFFICER | 5417569 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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