Michael J Spears
Professional Summary
Michael J Spears, who also goes by Mike Spears, is a registered financial advisor currently at WESTPARK WEALTH ADVISORS, INC. located in Houston, Texas and CALTON & ASSOCIATES, INC. located in Houston, Texas. Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Michael has worked at 3 firms and has passed the Series 66, Series 63, Series 52TO, Series 79TO, Series 99TO, SIE,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mike Spears
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
24 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
IMS FINANCIAL ADVISORS, INC. | WESTPARK WEALTH ADVISORS, INC. | WESTPARK WEALTH ADVISORS | WEST PARK WEALTH ADVISORS
Contact Information
Main Address
13111 Westheimer Rd. Suite 475, Houston, TX 77077Mailing Address
13111 Westheimer Rd. Suite 475, Houston, TX 77077Phone Number
(713) 266-2993# of Employees
25SEC notice filing (17 States and Territories)
Registered to provide investment advisory services in 17 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
773AUM (Assets Under Management)
$254,318,418Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
IMS FINANCIAL ADVISORS, INC. | WESTPARK WEALTH ADVISORS, INC. | WESTPARK WEALTH ADVISORS | WEST PARK WEALTH ADVISORS
State Registrations and Notice Filings
(1/19/2006)
(3/23/2018)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Michael J Spears's CRS (Customer Relationship Summary).
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