Michael S. Spatacco

BANCROFT CAPITAL

Fort Washington, PA 19034

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CRD#: 848521

Professional summary

Michael Stephen Spatacco is a registered financial advisor currently at BANCROFT CAPITAL, LLC located in Fort Washington, Pennsylvania.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1978. Michael has 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"?

Yes

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.

(1)4240 PECHIN ST LLC; 1116 RED ROSE LANE; VILLANOVA, PA 19085; PARTNER - 50% OWNERSHIP; REAL ESTATE; $0 COMPENSTATION; 1 HOUR WEEKLY (2)THE ARDMORE INSURANCE GROUP; 501 OFFICE CENTER DRIVE, SUITE 130; FORT WASHINGTON, PA; PRINCIPAL, STARTING 01/13/2016; <10 HOURS WEEKLY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Stephen Spatacco's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael Stephen Spatacco's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 14, 2018 - Present

BANCROFT CAPITAL, LLC

Office #1: 501 Office Center Drive Suite 130, Fort Washington, PA 19034Office #2: 501 Office Center Drive Suite 130, Fort Washington, PA 19034

RIA

CRD#: 290665

Fort Washington, PA

Current

June 14, 2018 - Present

BANCROFT CAPITAL, LLC

Office #1: 501 Office Center Drive Suite 130, Fort Washington, PA 19034Office #2: 501 Office Center Drive Suite 130, Fort Washington, PA 19034

RIA

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

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.

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

CRD#: 285

ARDMORE, PA

Past

May 18, 1992 - February 4, 2002

JANNEY MONTGOMERY SCOTT LLC

CRD#: 463

PHILADELPHIA, PA

Past

January 1, 1991 - June 4, 1992

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

July 30, 1983 - January 1, 1991

BUTCHER & SINGER INC.

CRD#: 6517

Past

March 25, 1982 - May 19, 1983

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

CRD#: 7575

Past

January 30, 1980 - April 22, 1982

A. WEBSTER DOUGHERTY & CO., INCORPORATED

CRD#: 7136

Past

February 1, 1978 - May 26, 1979

BUTCHER & SINGER INC.

CRD#: 6517

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(5/2/2022)

California
(6/14/2018)

Florida
(3/7/2019)

Indiana
(10/7/2019)

Iowa
(8/20/2019)

Maryland
(6/14/2018)

Massachusetts
(3/7/2019)

New Jersey
(3/7/2019)

New Mexico
(3/7/2019)

New York
(3/7/2019)

Pennsylvania
(6/14/2018)

IAR

Pennsylvania
(6/14/2018)

Texas
(6/26/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/14/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/9/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 11/1/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 1/21/1978

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 12/21/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

BANCROFT CAPITAL, LLC

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

Pennsylvania

Registered Investment Advisory firm - SEC (4/13/2018 Approved)

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

FINRA licenses (34 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
QUINN, CAULDON DEAN	CEO	4530968
BANCROFT HOLDINGS, LLC	HOLDING CO.
LINDH, COLLEEN MARNIE	CCO/FINOP	1912150

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Michael S. Spatacco

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Stephen Spatacco's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael Stephen Spatacco's CRS (Customer Relationship Summary).

Certified licenses

Experience

BANCROFT CAPITAL, LLC

CM ADVISORY, LLC

CFG CAPITAL MARKETS, LLC

BOENNING & SCATTERGOOD, INC.

BOENNING & SCATTERGOOD, INC.

FERRIS, BAKER WATTS, LLC

FERRIS, BAKER WATTS, LLC

JANNEY MONTGOMERY SCOTT LLC

FIRST UNION CAPITAL MARKETS CORP.

BUTCHER & SINGER INC.

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

A. WEBSTER DOUGHERTY & CO., INCORPORATED

BUTCHER & SINGER INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/14/2002

Series 63

Date: 8/9/1993

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 5

Date: 11/1/1982

Series 7

Date: 1/21/1978

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 12/21/1994

FINRA

NYSE American LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

BANCROFT CAPITAL, LLC

Contact information

FINRA licenses (34 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

BANCROFT CAPITAL, LLC

TRUST BUT VERIFY

Contact information

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