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Andrew John Sponseller

CRD# 5245784·Registered 2009 - 2013
Previously Registered: Being a previously registered professional could mean that Andrew 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.

Professional Summary

Andrew John Sponseller, who also goes by Andy John Sponseller, was a registered financial advisor. Andrew was a previously registered financial professional and started their career in finance 2009 - 2013. Andrew had worked at 2 firms and has passed the Series 6 exam.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Andy John Sponseller

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

17 years in the financial services industry

Current & Past Employments

ROCKPOINTE FINANCIAL·CRD# 120365
RIA
Columbus, OH
November 2, 2009 - November 23, 2013
THE HUNTINGTON INVESTMENT COMPANY·CRD# 16986
BD
Dublin, OH
July 20, 2009 - October 9, 2009

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Current Firm

RF
ROCKPOINTE FINANCIAL

FISHER WEALTH MANAGEMENT, L.L.C. | ROCKPOINTE FINANCIAL

CRD#: 120365

Contact Information

Main Address

5080 Tuttle Crossing Blvd Suite 250, Dublin, OH 43016

Documents

Latest Form ADV

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jul 2009About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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