Jordan R. Spinosa
SPINOSA WEALTH MANAGEMENT GROUP
MANDEVILLE, LA 70471
Some features on this profile are disabled
CRD#: 6065597
Professional summary
Jordan Randall Spinosa, CFP® is a registered financial advisor currently at SPINOSA WEALTH MANAGEMENT GROUP located in Mandeville, Louisiana and LPL FINANCIAL LLC located in Mandeville, Louisiana.
Jordan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Jordan has worked at 2 firms and has passed the SIE and Series 7 exams.
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.
1. JRS & ASSOCIATES- Not Investment Related - 4565 LaSalle St., Mandeville, Louisiana 70471 - Business Entity For Tax/Investment Purposes Only- Officer/Agent - Start Date - 01/01/2020- 160 Hours Per Month/140 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Jordan Randall Spinosa'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®
CFP®
Start date: 2017
Experience
Current
August 15, 2022 - Present
SPINOSA WEALTH MANAGEMENT GROUP
Office #1: 4565 Lasalle Street Suite 201, Mandeville, LA 70471RIA
CRD#: 170903
MANDEVILLE, LA
Current
October 7, 2014 - Present
LPL FINANCIAL LLC
Office #1: 4565 Lasalle Street Suite 201, Mandeville, LA 70471RIA
BD
CRD#: 6413
MANDEVILLE, LA
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
SPINOSA WEALTH MANAGEMENT GROUP
SPINOSA & ASSOCIATES, INC. | SPINOSA, RANDY | SPINOSA WEALTH MANAGEMENT GROUP, LLC | SPINOSA WEALTH MANAGEMENT GROUP
CRD#: 170903 / SEC#: 801-120889
RIA
Registered Investment Advisory firm - (4/23/2021 Approved)Florida
Registered Investment Advisory firm - (4/26/2021 Terminated)Louisiana
Registered Investment Advisory firm - (5/3/2021 Terminated)Texas
Registered Investment Advisory firm - (4/26/2021 Terminated)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
Louisiana(10/7/2014)
IAR
Louisiana(8/15/2022)
Exams
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SPINOSA WEALTH MANAGEMENT GROUP
SPINOSA & ASSOCIATES, INC. | SPINOSA, RANDY | SPINOSA WEALTH MANAGEMENT GROUP, LLC | SPINOSA WEALTH MANAGEMENT GROUP
CRD#: 170903 / SEC#: 801-120889
RIA
Registered Investment Advisory firm - (4/23/2021 Approved)Florida
Registered Investment Advisory firm - (4/26/2021 Terminated)Louisiana
Registered Investment Advisory firm - (5/3/2021 Terminated)Texas
Registered Investment Advisory firm - (4/26/2021 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4565 Lasalle Street Suite 201, Mandeville, LA 70471
Mailing Address
Phone number
(985) 674-6722
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 319 |
| AUM (Assets Under Management) | $ 155,061,629 |
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
SPINOSA WEALTH MANAGEMENT GROUP
CRD#: 170903Mandeville, LA 70471TRUST BUT VERIFY
Monitor Jordan Spinosa
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
