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MS

Michael Sperduto

STANCORP EQUITIES
Portland, OR 97204-1093
Some features on this profile are disabled
CRD#: 5054191
MS

Professional summary

Michael Sperduto, who also goes by Michael Ralph Sperduto, is a registered financial professional currently at STANCORP EQUITIES, INC. located in Portland, Oregon.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2006. Michael has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Ralph Sperduto

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) - BD

Click below to view Michael Sperduto's CRS (Customer Relationship Summary).

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

Current

July 11, 2019 - Present

STANCORP EQUITIES, INC.

Office #1: 1100 Sw Sixth Avenue, Portland, OR 97204-1093
BD
CRD#: 19517
Portland, OR
Past

October 19, 2018 - April 29, 2019

ASCENSUS BROKER DEALER SERVICES, LLC

BD
CRD#: 36478
NEWTON, MA
Past

January 6, 2017 - October 19, 2018

ASCENSUS FINANCIAL SERVICES, LLC.

BD
CRD#: 147257
DRESHER, PA
Past

May 3, 2011 - December 22, 2016

ADP BROKER-DEALER, INC.

BD
CRD#: 37693
ROSELAND, NJ
Past

May 17, 2010 - May 2, 2011

LPL FINANCIAL LLC

BD
CRD#: 6413
CRANBERRY TWP, PA
Past

June 12, 2007 - May 25, 2010

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
DELMONT, PA
Past

October 31, 2006 - May 30, 2007

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
PITTSBURGH, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(1/3/2024)
RR
Ohio
(7/11/2019)
RR
Pennsylvania
(7/11/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 11/8/2006
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 6
Date: 10/30/2006
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SE
STANCORP EQUITIES, INC.
STANCORP EQUITIES, INC. | STANWEST EQUITIES, INC. | STANDARD EQUITIES, INC.

CRD#: 19517 / SEC#: , 8-37563

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
1100 Sw Sixth Avenue, Portland, OR 97204-1093
Mailing Address
900 Sw 5th Avenue, C22, Portland, OR 97204-1093
Phone number
(971) 321-8830
Established
Oregon since 10/02/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
STANCORP FINANCIAL GROUP, INC.OWNER OF STANCORP EQUITIES, INC.
BURLIE, JASON MATTHEWPRESIDENT4072452
HUANG, JAMES PEI-YUENSECRETARY4020305
LIM, CHARLESCHIEF COMPLIANCE OFFICER5039063
MARTIN, SHANNON MICHELLE2ND VICE PRESIDENT AND ASSISTANT CONTROLLER7616238
PAGLIARULO, DAVID CTREASURER, FINOP6883045

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

STANCORP EQUITIES, INC.

CRD#: 19517Portland, OR 97204-1093

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