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BS

Brandon J. Spangler

Some features on this profile are disabled
CRD#: 5135310
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.

Brandon Joseph Spangler was a registered financial professional .

Brandon is a previously registered financial professional and started their career in finance in 2006. Brandon had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
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

September 17, 2014 - January 12, 2015

ESSEX NATIONAL SECURITIES, LLC

RIA
CRD#: 25454
TROY, MI
Past

November 6, 2012 - January 12, 2015

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
TROY, MI
Past

October 14, 2009 - October 10, 2012

THE HUNTINGTON INVESTMENT COMPANY

RIA
CRD#: 16986
FERNDALE, MI
Past

October 12, 2009 - October 10, 2012

THE HUNTINGTON INVESTMENT COMPANY

BD
CRD#: 16986
FERNDALE, MI
Past

November 13, 2007 - September 14, 2009

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
ROSEVILLE, MI
Past

November 13, 2007 - September 14, 2009

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
ROSEVILLE, MI
Past

July 31, 2006 - August 22, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
TROY, MI

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
IAR
Series 66
Date: 9/13/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/12/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/28/2006
General Securities Representative Examination

Current Firm

EN
ESSEX NATIONAL SECURITIES, LLC
ESSEX NATIONAL SECURITIES, INC. | ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454 / SEC#: 801-70990, 8-41750

BD
Terminated by SEC on 09/13/2016
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Contact information

Main Address
550 Gateway Drive Suite 210, Napa, CA 94558
Mailing Address
Phone number
Established
Delaware since 06/27/2012
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ESSEX NATIONAL HOLDING COMPANY, LLCOWNER
AMARANTE, STEPHEN PAULCHAIRMAN OF BOARD OF DIRECTORS3165067
COONEY, JOHN MICHAELCOO, CHIEF COMPLIANCE OFFICER, CFO, TREASURER, ROSFP1326757
CUMMINGS, WILLIAM FRANCISDIRECTOR4761165
DAVIS, SCOTT KELSOPRESIDENT, CEO, DIRECTOR1252573

Disclosures

Regulatory Event5

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

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

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