Robert J. Spindel
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 John Spindel was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1976. Robert had worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 30, 1995 - February 14, 2019
PARADIGM FINANCIAL ADVISORS LLC
March 15, 1993 - December 31, 2000
WALNUT STREET SECURITIES, INC.
October 20, 1981 - November 9, 1981
STIX & CO., INC.
November 19, 1976 - October 22, 1991
NEW ENGLAND SECURITIES
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 1
Date: 11/13/1976
Registered Representative ExaminationCurrent Firm
PARADIGM FINANCIAL ADVISORS LLC
CRD#: 108090 / SEC#: 801-54603
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,322 |
| AUM (Assets Under Management) | $ 548,086,175 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/21/2022 | ||
| 01/07/2022 |
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.
