Michael Spear
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.
Michael Spear, CFP®, who also goes by Michael R. Spear, Michael Ross Spear, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2002. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2022 - February 23, 2025
CHARLES SCHWAB & CO., INC.
May 5, 2022 - February 23, 2025
CHARLES SCHWAB & CO., INC.
June 19, 2017 - March 25, 2022
UBS FINANCIAL SERVICES INC.
June 19, 2017 - March 25, 2022
UBS FINANCIAL SERVICES INC.
June 7, 2016 - May 19, 2017
VALEO FINANCIAL ADVISORS, LLC
December 23, 2013 - May 31, 2016
SCHWAB WEALTH ADVISORY, INC.
January 3, 2012 - December 23, 2013
CHARLES SCHWAB & CO., INC.
September 29, 2006 - December 31, 2011
CHARLES SCHWAB & CO., INC.
September 29, 2006 - May 31, 2016
CHARLES SCHWAB & CO., INC.
January 29, 2004 - November 19, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 29, 2004 - November 19, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 3, 2003 - November 5, 2003
EQUITY SERVICES, INC.
January 15, 2003 - November 5, 2003
EQUITY SERVICES, INC.
August 20, 2002 - January 3, 2003
EDWARD JONES
March 11, 2002 - July 8, 2002
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
