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Eric Mark Spangenthal

Raymond James Financial Services, Inc.

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About Eric Mark Spangenthal

Eric Mark Spangenthal is a financial advisor with Raymond James Financial Services, Inc. Eric has been in the securities industry for over 30 years, starting his career in 1989. Eric has been registered with Raymond James Financial Services, Inc. since August 2019. Prior to joining Raymond James, Eric worked at Wells Fargo Clearing Services, LLC. Eric holds several industry licenses including Series 7, Series 10, Series 9 and Series 63. Eric is registered to provide securities and investment advice in 14 states across the country.

Firm Information

Eric Spangenthal is currently registered with Raymond James Financial Services, Inc.. Raymond James Financial Services, Inc. is a Corporation that was formed on September 12, 1973. The firm is registered in 53 states and is also registered with the SEC. The firm has been involved in 125 regulatory events and 76 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

568

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Eric Spangenthal’s Registration & Firm History

MA

08/08/2019 - Present

Raymond James Financial Services, Inc. (SPRINGFIELD MA)

MA

01/01/2008 - 08/12/2019

WELLS FARGO CLEARING SERVICES, LLC (NORTHAMPTON MA)

MA

03/30/2005 - 01/03/2008

A. G. EDWARDS & SONS, INC. (NORTHAMPTON MA)

MO

09/15/2000 - 03/09/2005

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NY

06/13/1997 - 09/27/2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NJ

11/21/1989 - 06/20/1997

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

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Licenses & Designations

BC

Issued 12/04/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/30/2001

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 12/21/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/18/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Eric Mark Spangenthal.
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