Steffanie L. Spear
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.
Steffanie Leigh Spear, who also goes by Steffanie Leigh Holtzapple, was a registered financial professional .
Steffanie is a previously registered financial professional and started their career in finance in 2022. Steffanie had worked at 1 firm and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2022 - January 22, 2024
PENDULUM SECURITIES, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PENDULUM SECURITIES, LLC
CRD#: 312642 / SEC#: , 8-70705
Contact information
FINRA licenses (36 States and Territories)
Red Flags
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