James David Spielman Jr.
Professional Summary
James David Spielman JR., who also goes by James David Spielman, is a registered financial advisor currently at THE M & A GROUP LLC located in Stillwater, Minnesota. James is registered as a RR (Registered Representative) and started their career in finance in 2004. James has worked at 8 firms and has passed the Series 63, Series 42, Series 72, Series 7TO, Series 6TO, Series 62, Series 99TO, Series 82TO, Series 22TO, Series 79TO, SIE,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James David Spielman
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
17 years in the financial services industry
Current & Past Employments
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Current Firm
LAKEPOINTE CAPITAL ADVISORS LLC | THE M & A GROUP LLC | THE M & A GROUP - SORENSEN FREELAND PARTNERS, LLC
Contact Information
Main Address
512 Liberty Parkway, Stillwater, MN 55082Mailing Address
512 Liberty Parkway, Stillwater, MN 55082Phone Number
(651) 430-3220Established
Minnesota since 10/18/2006Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(8/31/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 42 — Registered Options Representative Examination
Passed Jan 2023Series 72 — Government Securities Representative Examination
Passed Jan 2023Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 62 — Corporate Securities Limited Representative Examination
Passed Jan 2023Series 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2023About the Series 82TO examSeries 22TO — Direct Participation Programs Representative Examination
Passed Jan 2023About the Series 22TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 79 — Investment Banking Registered Representative Examination
Passed Jul 2013About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James David Spielman JR.'s CRS (Customer Relationship Summary).
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