Brian T. Spatola

HERON EQUITY MANAGEMENT

Indialantic, FL 32903

Some features on this profile are disabled

CRD#: 5074911

Professional summary

Brian T Spatola is a registered financial advisor currently at HERON EQUITY MANAGEMENT, LLC located in Indialantic, Florida.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Brian has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. B.T. SPATOLA & ASSOCIATES POSITION: Member NATURE: BT SPATOLA & ASSOCIATES LLC, INVEST RELATED, NAME FOR TAX REPORTING PURPOSES, START 01/01/2010, .5HR/WK NOT DURING TRADING, OWNER. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 09/07/2010 ADDRESS: Melbourne FL 32935, DESCRIPTION: I use this entity for Tax Purposes and track income and expenses. 2. SOLE PROPRIETOR BRIAN T SPATOLA - INSURANCE AGENT POSITION: Insurance Agent NATURE: B.T. Spatola and Associates LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2023 ADDRESS: 1Melbourne FL 32935 DESCRIPTION: Insurance Sales

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian T Spatola'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

March 12, 2024 - Present

HERON EQUITY MANAGEMENT, LLC

Office #1: 442 4th Avenue, Indialantic, FL 32903

RIA

CRD#: 307350

Indialantic, FL

Past

August 9, 2019 - February 5, 2024

OSAIC WEALTH, INC.

RIA

CRD#: 23131

MELBOURNE, FL

Past

August 9, 2019 - February 5, 2024

OSAIC WEALTH, INC.

CRD#: 23131

MELBOURNE, FL

Past

January 15, 2014 - August 12, 2019

CETERA ADVISORS LLC

RIA

CRD#: 10299

MELBOURNE, FL

Past

December 20, 2013 - August 12, 2019

CETERA ADVISORS LLC

CRD#: 10299

MELBOURNE, FL

Past

June 11, 2010 - December 26, 2013

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

MELBOURNE, FL

Past

May 26, 2010 - December 26, 2013

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

MELBOURNE, FL

Past

February 13, 2007 - May 27, 2010

EDWARD JONES

RIA

CRD#: 250

PALM BAY, FL

Past

January 30, 2006 - May 27, 2010

EDWARD JONES

CRD#: 250

PALM BAY, FL

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(3/12/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/2/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/2/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/27/2006

General Securities Representative Examination

Current Firm

HERON EQUITY MANAGEMENT, LLC

CRD#: 307350 / SEC#:

Florida

Registered Investment Advisory firm - (2/22/2022 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

442 4th Avenue, Indialantic, FL 32903

Mailing Address

Phone number

(321) 728-1196

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	36
AUM (Assets Under Management)	$ 5,150,147

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.

Similar Advisors

Jason Valavanis

J.W. COLE FINANCIAL, INC.

Melbourne, FL

John Krehbiel

KREHBIEL FINANCIAL LLC

IAR

Satellite Beach, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian T. Spatola

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian T Spatola's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

EDWARD JONES

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 66

Date: 2/2/2007

Series 63

Date: 2/2/2006

SIE

Date: 10/1/2018

Series 7

Date: 1/27/2006

Current Firm

HERON EQUITY MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HERON EQUITY MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors