Joseph P. Splendorio

Some features on this profile are disabled

CRD#: 4532290

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.

Joseph Paul Splendorio, CIMA® was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2002. Joseph had worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

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®

CIMA^®

Certified Investment Management Analyst

Experience

Past

June 15, 2018 - December 31, 2025

CWS FINANCIAL ADVISORS LLC

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.

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 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)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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 (2/11/2026)

Regulatory assets under management

Total Number of Accounts	2,156
AUM (Assets Under Management)	$ 1,328,605,949

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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Joseph P. Splendorio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CWS FINANCIAL ADVISORS LLC

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

Similar Advisors