Robert G. Spelman
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.
Robert Gregory Spelman was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1980. Robert had worked at 4 firms and has passed the Series 63, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2006 - January 30, 2014
KINSELL, NEWCOMB & DE DIOS, INC
October 31, 2005 - January 18, 2006
OSAIC SERVICES, INC.
May 10, 1989 - October 31, 2005
SPELMAN & CO., INC.
March 20, 1980 - April 6, 1989
SECURITIES RESOLUTION CORPORATION
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
Current Firm
KINSELL, NEWCOMB & DE DIOS, INC
CRD#: 16427 / SEC#: , 8-33949
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KND HOLDINGS, INC. | SOLE SHAREHOLDER | |
| KINSELL, JAMES JEFFERY | DIRECTOR AND PRESIDENT AND CCO | 270376 |
Disclosures
| Regulatory Event | 1 |
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.
