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Robert J. Ferris

SPIRE WEALTH MANAGEMENT
MONONA, WI 53716
Some features on this profile are disabled
CRD#: 5770139
RF

Professional summary

Robert John Ferris is a registered financial advisor currently at SPIRE WEALTH MANAGEMENT, LLC located in Monona, Wisconsin and SPIRE SECURITIES, LLC located in Mclean, Virginia.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Robert has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

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.
(2) INVESTMENT ADVISER REPRESENTATIVE OF SPIRE WEALTH MANAGEMENT - AFFILIATE Admin functions, service as needed. since 10/2019. (3) DBA - TOTA VITA FINANCIAL ASSOCIATES - DBA for Spire related business. Admin functions, service as needed. since 10/2019.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert John Ferris's CRS (Customer Relationship Summary).
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

November 1, 2019 - Present

SPIRE WEALTH MANAGEMENT, LLC

Office #1: 5221 Monona Drive, Monona, WI 53716
RIA
CRD#: 113908
MONONA, WI
Current

November 1, 2019 - Present

SPIRE SECURITIES, LLC

Office #1: 7901 Jones Branch Dr. Suite 810, Mclean, VA 22102
BD
CRD#: 144131
Mclean, VA
Past

July 16, 2013 - November 19, 2019

CABOT LODGE SECURITIES LLC

BD
CRD#: 159712
MONONA, WI
Past

May 11, 2012 - November 19, 2019

CL WEALTH MANAGEMENT LLC

RIA
CRD#: 134922
SCHAUMBURG, IL
Past

February 22, 2011 - July 17, 2013

ALLIED BEACON PARTNERS, INC.

BD
CRD#: 46227
MONONA, WI
Past

April 30, 2010 - February 22, 2011

AMERICAN BEACON PARTNERS, INC.

BD
CRD#: 15791
EAU CLAIRE, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SW
SPIRE WEALTH MANAGEMENT, LLC
LEGACY ADVISORS, LLC | SPIRE WEALTH MANAGEMENT, LLC

CRD#: 113908 / SEC#: 801-60468

RIA
Registered Investment Advisory firm - (8/17/2001 Approved)

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.
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
Alabama
(4/27/2023)
RR
Arizona
(1/17/2025)
RR
California
(1/17/2025)
RR
Colorado
(1/17/2025)
RR
Florida
(1/17/2025)
RR
Illinois
(10/5/2021)
RR
Maryland
(4/29/2024)
RR
Michigan
(8/29/2025)
RR
Minnesota
(1/17/2025)
RR
Mississippi
(4/27/2023)
RR
North Dakota
(6/20/2024)
RR
Ohio
(11/26/2021)
RR
South Dakota
(7/8/2024)
RR
Texas
(4/27/2023)
RR
Wisconsin
(11/1/2019)
IAR
Wisconsin
(11/1/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/10/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/10/2010
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: 4/29/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SW
SPIRE WEALTH MANAGEMENT, LLC
LEGACY ADVISORS, LLC | SPIRE WEALTH MANAGEMENT, LLC

CRD#: 113908 / SEC#: 801-60468

RIA
Registered Investment Advisory firm - (8/17/2001 Approved)
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Contact information

Main Address
7901 Jones Branch Dr. Suite 810, Mclean, VA 22102
Mailing Address
7901 Jones Branch Drive Suite 800, Mclean, VA 22102
Phone number
(703) 657-6060
Established
Firm type
Fiscal year end
# of Employees
165

SEC notice filing (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2025 SPIRE WEALTH MANAGEMENT ADV 2A (3/30/2025)

Regulatory assets under management

Total Number of Accounts15,808
AUM (Assets Under Management)$ 4,617,171,037

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

SPIRE WEALTH MANAGEMENT, LLC

CRD#: 113908Monona, WI 53716

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