Carl E. Spangler

RAMPART ASSET MANAGEMENT LLC

Irvine, CA 92612

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CRD#: 5928605

Professional summary

Carl Eugene Spangler, who also goes by Carl E. Spangler Jr., Carl E. Spangler, Carl Eugene Spangler Jr., is a registered financial advisor currently at RAMPART ASSET MANAGEMENT LLC located in Irvine, California and MISCHLER FINANCIAL GROUP, INC. located in Irvine, California.

Carl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Carl has worked at 3 firms and has passed the Series 63, Series 65, Series 27 and Series 14 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carl E. Spangler Jr. | Carl E. Spangler | Carl Eugene Spangler Jr.

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) Name of Business: N/A; Investment related: Yes; Address: Laguna Niguel, CA; Nature of other business/position/Title with other business: Co-Trust Protector for close friend's family Trust; Started: approx. 2020; Hrs devoted monthly: approx. 2 hrs.; Hrs. devoted during trading hrs: 0; Duties: Attendance at periodic investment review meetings to help confirm the investment allocation is consistent with the terms of the Trust Agreement. 2) Rampart Asset Management LLC; Investment related; 19800 MacArthur Blvd, Suite 600, Irvine, CA 92612; Registered Investment Advisory firm; Registered Advisor; Started 6/6/23, company became active 11/2024; 4-6 hrs monthly; 4-6 hrs monthly during securities trading hrs; Registered Advisor.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Eugene Spangler'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

June 6, 2023 - Present

RAMPART ASSET MANAGEMENT LLC

Office #1: 19800 Macarthur Blvd., Suite 600, Irvine, CA 92612

RIA

CRD#: 168549

Irvine, CA

Current

March 2, 2023 - Present

MISCHLER FINANCIAL GROUP, INC.

Office #1: 19800 Macarthur Blvd. Suite 600, Irvine, CA 92612

CRD#: 37818

Irvine, CA

Past

February 3, 2012 - August 30, 2021

LEVASSEUR CAPITAL PARTNERS LLC

RIA

CRD#: 157633

NEWPORT BEACH, CA

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".

RAMPART ASSET MANAGEMENT LLC

HOLMES, DOYLE | RAMPART ASSET MANAGEMENT LLC

CRD#: 168549 / SEC#: 801-132714

RIA

Registered Investment Advisory firm - (5/14/2025 Approved)

California

Registered Investment Advisory firm - (5/16/2014 Approved)

Connecticut

Registered Investment Advisory firm - (5/27/2014 Approved)

Illinois

Registered Investment Advisory firm - (5/5/2014 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.

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

California
(3/18/2023)

IAR

California
(6/6/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/17/2023

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/9/2010

Uniform Investment Adviser Law Examination

Principal/Supervisory Exam

Series 27

Date: 11/10/2023

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 14

Date: 3/2/2023

Compliance Officer Examination

SRO Registrations

FINRA

Current Firm

RAMPART ASSET MANAGEMENT LLC

HOLMES, DOYLE | RAMPART ASSET MANAGEMENT LLC

CRD#: 168549 / SEC#: 801-132714

RIA

Registered Investment Advisory firm - (5/14/2025 Approved)

California

Registered Investment Advisory firm - (5/16/2014 Approved)

Connecticut

Registered Investment Advisory firm - (5/27/2014 Approved)

Illinois

Registered Investment Advisory firm - (5/5/2014 Approved)

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Contact information

Main Address

46 Southfield Avenue Suite 200, Stamford, CT 06902

Mailing Address

Phone number

(475) 477-9899

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (11/11/2025)

ADV PART 2B - JASON KLINGHOFFER (3/13/2025)

ADV PART 2B - CARL SPANGLER (3/13/2025)

ADV PART 2B - DEAN CHAMBERLAIN (3/13/2025)

ADV PART 2B - DOYLE HOLMES (3/13/2025)

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Carl E. Spangler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Eugene Spangler's CRS (Customer Relationship Summary).

Certified licenses

Experience

MISCHLER FINANCIAL GROUP, INC.

LEVASSEUR CAPITAL PARTNERS LLC

Primary Firm SEC Registration

RAMPART ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/17/2023

Series 65

Date: 11/9/2010

Series 27

Date: 11/10/2023

Series 14

Date: 3/2/2023

FINRA

Current Firm

RAMPART ASSET MANAGEMENT LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

RAMPART ASSET MANAGEMENT LLC

TRUST BUT VERIFY

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