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MS

Michael S. Spatacco

Some features on this profile are disabled
CRD#: 848521
MS

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.

Michael Stephen Spatacco was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1978. Michael had worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 5, Series 7, Series 10, Series 9 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 14, 2018 - February 3, 2026

BANCROFT CAPITAL, LLC

RIA
CRD#: 290665
FORT WASHINGTON, PA
Past

June 14, 2018 - February 3, 2026

BANCROFT CAPITAL, LLC

BD
CRD#: 290665
FORT WASHINGTON, PA
Past

November 9, 2016 - June 1, 2018

CM ADVISORY, LLC

RIA
CRD#: 284486
Ardmore, PA
Past

June 11, 2014 - June 1, 2018

CFG CAPITAL MARKETS, LLC

BD
CRD#: 39468
Ardmore, PA
Past

June 30, 2008 - June 13, 2014

BOENNING & SCATTERGOOD, INC.

RIA
CRD#: 100
ARDMORE, PA
Past

June 23, 2008 - June 13, 2014

BOENNING & SCATTERGOOD, INC.

BD
CRD#: 100
ARDMORE, PA
Past

May 15, 2002 - June 25, 2008

FERRIS, BAKER WATTS, LLC

RIA
CRD#: 285
ARDMORE, PA
Past

February 4, 2002 - June 25, 2008

FERRIS, BAKER WATTS, LLC

BD
CRD#: 285
ARDMORE, PA
Past

May 18, 1992 - February 4, 2002

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA
Past

January 1, 1991 - June 4, 1992

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

July 30, 1983 - January 1, 1991

BUTCHER & SINGER INC.

BD
CRD#: 6517
Past

March 25, 1982 - May 19, 1983

W.H. NEWBOLD'S SON & CO., INC.

BD
CRD#: 7575
Past

January 30, 1980 - April 22, 1982

A. WEBSTER DOUGHERTY & CO., INCORPORATED

BD
CRD#: 7136
Past

February 1, 1978 - May 26, 1979

BUTCHER & SINGER INC.

BD
CRD#: 6517

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/14/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/9/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 5
Date: 11/1/1982
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1978
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 12/21/1994
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

BC
BANCROFT CAPITAL, LLC
BANCROFT CAPITAL, LLC

CRD#: 290665 / SEC#: , 8-70035

Pennsylvania
Registered Investment Advisory firm - SEC (4/13/2018 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
501 Office Center Drive Suite 130, Fort Washington, PA 19034
Mailing Address
501 Office Center Drive Suite 130, Fort Washington, PA 19034
Phone number
(484) 686-0346
Established
Pennsylvania since 07/04/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
4

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
QUINN, CAULDON DEANCEO4530968
BANCROFT HOLDINGS, LLCHOLDING CO.
LINDH, COLLEEN MARNIECCO/FINOP1912150

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

BANCROFT CAPITAL, LLC

CRD#: 290665

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Contact information

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