Joseph P. Splendorio

CWS FINANCIAL ADVISORS LLC

Kalamazoo, MI 49007

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CRD#: 4532290

Professional summary

Joseph Paul Splendorio, CIMA® is a registered financial advisor currently at CWS FINANCIAL ADVISORS LLC located in Kalamazoo, Michigan.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Joseph has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Joseph Paul Splendorio's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CIMA^®

Certified Investment Management Analyst

Experience

Current

June 15, 2018 - Present

CWS FINANCIAL ADVISORS LLC

Office #1: 405 West Michigan Avenue Suite 110, Kalamazoo, MI 49007

RIA

CRD#: 297000

Kalamazoo, MI

Past

February 21, 2014 - June 19, 2018

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

KALAMAZOO, MI

Past

February 21, 2014 - June 19, 2018

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

KALAMAZOO, MI

Past

September 23, 2011 - February 21, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

KALAMAZOO, MI

Past

September 8, 2011 - February 21, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

KALAMAZOO, MI

Past

November 15, 2007 - August 11, 2011

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368

BOSTON, MA

Past

May 29, 2002 - March 26, 2007

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

SAN FRANCISCO, CA

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".

CWS FINANCIAL ADVISORS LLC

CRD#: 297000 / SEC#: 801-113289

RIA

Registered Investment Advisory firm - (5/23/2018 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Michigan
(6/15/2018)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/22/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/27/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/19/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/23/2002

General Securities Representative Examination

Current Firm

CWS FINANCIAL ADVISORS LLC

CRD#: 297000 / SEC#: 801-113289

RIA

Registered Investment Advisory firm - (5/23/2018 Approved)

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Contact information

Main Address

405 West Michigan Avenue Suite 110, Kalamazoo, MI 49007

Mailing Address

Phone number

(269) 349-4600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CWS FINANCIAL PART 2A_03-29-2019 (10/20/2025)

Regulatory assets under management

Total Number of Accounts	2,149
AUM (Assets Under Management)	$ 1,198,728,785

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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Advisor Monitoring

Firm Stability Insights

Joseph P. Splendorio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Paul Splendorio's CRS (Customer Relationship Summary).

Certified licenses

Experience

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MACQUARIE CAPITAL (USA) INC.

BANC OF AMERICA SECURITIES LLC

Primary Firm SEC Registration

CWS FINANCIAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/22/2011

Series 63

Date: 6/27/2002

SIE

Date: 6/19/2018

Series 7

Date: 5/23/2002

Current Firm

CWS FINANCIAL ADVISORS LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CWS FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

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