Frank A. Spadaro
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.
Frank Anthony Spadaro was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2003. Frank had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2017 - December 11, 2017
SOVEREIGN GLOBAL ADVISORS LLC
August 13, 2013 - June 29, 2017
JOSEPH STONE CAPITAL L.L.C.
December 2, 2009 - July 19, 2010
FIRST MIDWEST SECURITIES, INC.
April 7, 2008 - June 26, 2008
SOUTHEAST INVESTMENTS, N.C., INC.
January 6, 2006 - June 19, 2006
NEWBRIDGE SECURITIES CORPORATION
July 16, 2004 - December 20, 2005
WOODSTOCK FINANCIAL GROUP, INC.
August 18, 2003 - July 16, 2004
GUNNALLEN FINANCIAL, INC
January 2, 2003 - September 12, 2003
WOODSTOCK FINANCIAL GROUP, INC.
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
SOVEREIGN GLOBAL ADVISORS LLC
CRD#: 167663 / SEC#: , 8-69274
Contact information
FINRA licenses (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 11 |
| AUM (Assets Under Management) | $ 3,583,152 |
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.
