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JS

Joseph D. Spina

PLATFORM TECHNOLOGY PARTNERS
LOCUST VALLEY, NY 11560
Some features on this profile are disabled
CRD#: 6598280
JS

Professional summary

Joseph Drew Spina, who also goes by Joseph Spina, is a registered financial advisor currently at PLATFORM TECHNOLOGY PARTNERS located in Locust Valley, New York and SPIRE SECURITIES, LLC located in Locust Valley, New York.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Joseph has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Joseph Spina

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Drew Spina'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

September 6, 2022 - Present

PLATFORM TECHNOLOGY PARTNERS

Office #1: 63 Forest Avenue, Locust Valley, NY 11560
RIA
CRD#: 305602
LOCUST VALLEY, NY
Current

September 15, 2022 - Present

SPIRE SECURITIES, LLC

Office #1: 63 Forest Avenue, Locust Valley, NY 11560
BD
CRD#: 144131
Locust Valley, NY
Past

January 22, 2016 - July 1, 2022

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
New York, NY

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".
PT
PLATFORM TECHNOLOGY PARTNERS
NORTHEAST PRIVATE WEALTH MANAGEMENT | PLATFORM TECHNOLOGY PARTNERS LLC | PLATFORM TECHNOLOGY PARTNERS

CRD#: 305602 / SEC#: 801-117439

RIA
Registered Investment Advisory firm - (10/7/2019 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

IAR
New York
(9/6/2022)
RR
New York
(9/15/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/23/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/19/2016
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: 1/22/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PT
PLATFORM TECHNOLOGY PARTNERS
NORTHEAST PRIVATE WEALTH MANAGEMENT | PLATFORM TECHNOLOGY PARTNERS LLC | PLATFORM TECHNOLOGY PARTNERS

CRD#: 305602 / SEC#: 801-117439

RIA
Registered Investment Advisory firm - (10/7/2019 Approved)
PREMIUM
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Contact information

Main Address
475 Fifth Ave Suite 1501, New York, NY 10017
Mailing Address
Phone number
(212) 444-2362
Established
Firm type
Fiscal year end
# of Employees
11

SEC notice filing (8 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

PLATFORM TECHNOLOGY PARTNERS FIRM BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts1,939
AUM (Assets Under Management)$ 1,090,849,298

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

PLATFORM TECHNOLOGY PARTNERS

CRD#: 305602Locust Valley, NY 11560

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