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BS

Britt K. Sponzo

Some features on this profile are disabled
CRD#: 4984484
BS

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.

Britt K Sponzo, who also goes by Britt K Brennan, was a registered financial professional .

Britt is a previously registered financial professional and started their career in finance in 2006. Britt had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Britt K Brennan

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®
None

Experience

Past

March 5, 2018 - December 16, 2019

SIERRA PACIFIC SECURITIES, LLC

BD
CRD#: 155160
New York, NY
Past

July 9, 2014 - March 5, 2018

STORMHARBOUR SECURITIES LP

BD
CRD#: 35997
NEW YORK, NY
Past

October 9, 2013 - July 7, 2014

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

April 2, 2012 - October 3, 2013

BANC OF MANHATTAN CAPITAL

BD
CRD#: 149880
NEW YORK, NY
Past

October 14, 2011 - March 29, 2012

ODEON CAPITAL GROUP LLC

BD
CRD#: 148493
NEW YORK, NY
Past

October 22, 2009 - August 23, 2011

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
NEW YORK, NY
Past

August 28, 2006 - November 12, 2007

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

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.

Exams

State Security Law Exam
RR
Series 63
Date: 2/3/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/25/2006
General Securities Representative Examination

Current Firm

SP
SIERRA PACIFIC SECURITIES, LLC
SIERRA PACIFIC SECURITIES, LLC

CRD#: 155160 / SEC#: , 8-68700

BD
Terminated by SEC on 09/17/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 07/16/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
STIFEL FINANCIAL CORP.SHAREHOLDER
MARINO, JAMES ANTHONYPRINCIPAL FINANCIAL OFFICER5049527
RUBULOTTA, DAVID THOMASMANAGER, CCO2060274

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.

Company Information

SIERRA PACIFIC SECURITIES, LLC

CRD#: 155160

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