Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Michael Spatola is a financial professional with over 20 years of experience in the industry. Brian is currently registered with Ladenburg Thalmann & Co. Inc. as a financial advisor. Brian has been in the securities industry since August 18, 2001. Brian is a licensed professional with the Series 4, 7, 9, 10, 14, 24, 52TO, 53, 63, 99TO, and SIE licenses. Brian has held previous positions at Summit Brokerage Services, Inc. and Sterling Financial Investment Group, Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
FL
07/09/2007 - Present
Ladenburg Thalmann & Co. Inc. (BOCA RATON FL)
FL
06/14/2005 - 07/16/2007
SUMMIT BROKERAGE SERVICES, INC. (BOCA RATON FL)
FL
08/16/2001 - 06/10/2005
STERLING FINANCIAL INVESTMENT GROUP, INC. (BOCA RATON FL)
BC
Issued 12/19/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/13/2023
Series 14 - Compliance Officer Examination
BC
Issued 02/19/2022
Series 4 - Registered Options Principal Examination
BC
Issued 10/15/2021
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/23/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/19/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/24/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq Stock Market
N
New York Stock Exchange
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