Jeffrey A. Sprowles
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.
Jeffrey A Sprowles was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2002. Jeffrey had worked at 3 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2021 - March 31, 2022
PLANNING CAPITAL MANAGEMENT CORP.
September 8, 2006 - May 28, 2021
JEFF SPROWLES AND ASSOCIATES, LLC
July 11, 2002 - February 18, 2005
MERCADIEN ASSET MANAGEMENT, LLC
State Registrations and Notice Filings
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Current Firm
PLANNING CAPITAL MANAGEMENT CORP.
CRD#: 112994 / SEC#: 801-117036
Contact information
Regulatory assets under management
| Total Number of Accounts | 868 |
| AUM (Assets Under Management) | $ 313,253,709 |
Red Flags
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