Tina M. Spohn
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Tina M Spohn, who also goes by Tina Daubner, Tina Spohn, Tina Marie Spohn, was a registered financial professional .
Tina is a previously registered financial professional and started their career in finance in 2018. Tina had worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2025 - April 3, 2025
ALIGHT FINANCIAL SOLUTIONS, LLC
March 5, 2021 - January 28, 2025
NYLIFE SECURITIES LLC
November 19, 2018 - January 29, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 25, 2018 - November 21, 2018
PFS INVESTMENTS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 7/18/2019
General Securities Representative ExaminationCurrent Firm
ALIGHT FINANCIAL SOLUTIONS, LLC
CRD#: 36509 / SEC#: , 8-47344
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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.
