MS
Michael R. Spitz
FORESIDE FINANCIAL SERVICES
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 5884580
MS
Professional summary
Michael Ryan Spitz, who also goes by Michael Spitz, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Chicago, Illinois.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2012. Michael has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael Spitz
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Ryan Spitz'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®
NoneExperience
Current
December 18, 2019 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 10 South Wacker Drive, Suite 3100, Chicago, IL 60606BD
CRD#: 148477
CHICAGO, IL
Past
April 18, 2016 - December 31, 2019
IMST DISTRIBUTORS, LLC
BD
CRD#: 130745
CHICAGO, IL
Past
April 15, 2014 - February 17, 2016
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
Past
November 21, 2012 - April 1, 2014
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
ATLANTA, GA
Past
November 21, 2012 - April 1, 2014
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
DOWNERS GROVE, IL
Past
September 20, 2012 - November 20, 2012
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CHICAGO, IL
Past
July 20, 2012 - November 20, 2012
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CHICAGO, IL
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
Alabama(1/10/2020)
RR
Alaska(1/10/2020)
RR
Arizona(1/10/2020)
RR
Arkansas(1/10/2020)
RR
California(1/10/2020)
RR
Colorado(1/10/2020)
RR
Connecticut(1/10/2020)
RR
Delaware(1/10/2020)
RR
District of Columbia(1/10/2020)
RR
Florida(1/10/2020)
RR
Georgia(1/10/2020)
RR
Hawaii(1/10/2020)
RR
Idaho(1/10/2020)
RR
Illinois(1/10/2020)
RR
Indiana(1/10/2020)
RR
Iowa(1/10/2020)
RR
Kansas(1/10/2020)
RR
Kentucky(1/10/2020)
RR
Louisiana(1/10/2020)
RR
Maine(1/10/2020)
RR
Maryland(1/10/2020)
RR
Massachusetts(1/10/2020)
RR
Michigan(1/10/2020)
RR
Minnesota(1/10/2020)
RR
Mississippi(1/10/2020)
RR
Missouri(1/10/2020)
RR
Montana(1/10/2020)
RR
Nebraska(1/10/2020)
RR
Nevada(1/10/2020)
RR
New Hampshire(1/10/2020)
RR
New Jersey(1/10/2020)
RR
New Mexico(1/10/2020)
RR
New York(1/10/2020)
RR
North Carolina(1/10/2020)
RR
North Dakota(1/10/2020)
RR
Ohio(1/10/2020)
RR
Oklahoma(1/10/2020)
RR
Oregon(1/10/2020)
RR
Pennsylvania(1/10/2020)
RR
Rhode Island(1/10/2020)
RR
South Carolina(1/10/2020)
RR
South Dakota(1/10/2020)
RR
Tennessee(1/10/2020)
RR
Texas(1/10/2020)
RR
Utah(1/10/2020)
RR
Vermont(1/10/2020)
RR
Virginia(1/10/2020)
RR
Washington(1/10/2020)
RR
West Virginia(1/10/2020)
RR
Wisconsin(1/10/2020)
RR
Wyoming(1/10/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FF
FORESIDE FINANCIAL SERVICES, LLC
BHIL DISTRIBUTORS, INC. | FORESIDE FINANCIAL SERVICES, LLC | BHIL DISTRIBUTORS, LLC
CRD#: 148477 / SEC#: , 8-68027
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(866) 251-6920
Established
Delaware since 07/31/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
