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Joseph Howard Spano Sr.
JOE SPANO, JOSEPH H SPANO, JOSEPH HOWARD SPANO SR, JOSEPH HOWARD SPANO Sr., Joseph Howard Spano…
CRD#: 1264497
IA
Investment Adviser
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Previous Broker
THE SPANO GROUP WEALTH MANAGERSCRD#: 327702 MEADOWLARK DRIVE
50
PRESIDENT & CEO, WV 25545
Registration History
1985199019952000200520102015202020252 FIRMS1984 - 1986 (1 year)2 FIRMS1987 - 1988 (1 year)2 FIRMS2002 - 2003 (1 year)2 FIRMS2003 - 2005 (2 years)2 FIRMS2005 - 2009 (3 years)2 FIRMS2009 - 2013 (4 years)2 FIRMS2013 - 2015 (1 year)2 FIRMS2015 - 2016 (1 year)2 FIRMS2016 - 2017 (<1 year)2 FIRMS2017 - 2018 (<1 year)3 FIRMS2018 - 2018 (<1 year)IATHE SPANO GROUP WEALTH MANAGERS (CRD# 327702)2023 - Present (1 year)BAIG RETIREMENT ADVISORS, INC. (CRD# 42803)2008 - 2008 (<1 year)BMETROPOLITAN LIFE INSURANCE CO... (CRD# 4095)2005 - 2007 (1 year)BPRUCO SECURITIES CORPORATION (CRD# 5685)1992 - 1993 (<1 year)BEQUITY SERVICES, INC. (CRD# 265)1988 - 1989 (1 year)BEQUITY SERVICES, INC. (CRD# 265)1986 - 1989 (3 years)IAJONDAKNOWS FINANCIAL GROUP, INC. (CRD# 325480)2023 - 2023 (<1 year)IAFREEDOM FINANCIAL ADVISORS, LLC (CRD# 321101)2022 - 2023 (<1 year)IAPATRIOT FINANCIAL CONSULTING (CRD# 155933)2018 - 2022 (4 years)
Disclosure(s)
View By:
12/1/2017
Customer Dispute
Settled
2/25/2015
Employment Separation After Allegations
3/25/2009
Employment Separation After Allegations
10/29/2008
Customer Dispute
Denied
License(s)

State Registrations

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West Virginia 8/1/2023

Current Registration(s)
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THE SPANO GROUP WEALTH MANAGERS (CRD#:327702)
MEADOWLARK DRIVE 50, PRESIDENT & CEO, WV 25545
Registered with this firm since 8/1/2023

Previous Registration(s)
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05/05/2023 - 08/01/2023 JONDAKNOWS FINANCIAL GROUP, INC. (CRD#:325480) HUNTINTON, WV
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07/08/2022 - 06/02/2023 FREEDOM FINANCIAL ADVISORS, LLC (CRD#:321101) SOUTH CHARLESTON, WV
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10/24/2018 - 11/08/2022 PATRIOT FINANCIAL CONSULTING (CRD#:155933) Ona, WV
B
10/03/2018 - 11/14/2018 LOMBARD SECURITIES INCORPORATED (CRD#:27954) BALTIMORE, MD
IA
02/12/2018 - 09/24/2018 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:16164) CHARLESTON, WV
B
01/23/2018 - 09/24/2018 TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164) CHARLESTON, WV
IA
10/05/2017 - 01/03/2018 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:16164) CHARLESTON, WV
B
09/21/2017 - 01/03/2018 TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164) CHARLESTON, WV
IA
10/03/2016 - 09/27/2017 CETERA ADVISORS LLC (CRD#:10299) CHARLESTON, WV
B
10/03/2016 - 09/27/2017 CETERA ADVISORS LLC (CRD#:10299) CHARLESTON, WV
IA
03/16/2015 - 10/03/2016 INVESTORS CAPITAL ADVISORY (CRD#:30613) CHARLESTON, WV
B
02/25/2015 - 10/03/2016 INVESTORS CAPITAL CORP. (CRD#:30613) CHARLESTON, WV
IA
05/02/2013 - 03/19/2015 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) CHARLESTON, WV
B
04/17/2013 - 03/19/2015 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) CHARLESTON, WV
IA
03/31/2009 - 04/25/2013 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) PITTSBURGH, PA
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03/31/2009 - 04/25/2013 VALIC FINANCIAL ADVISORS, INC. (CRD#:42803) PITTSBURGH, PA
IA
12/06/2005 - 04/24/2009 METLIFE SECURITIES INC. (CRD#:14251) CHARLESTON, WV
B
12/06/2005 - 04/24/2009 METLIFE SECURITIES INC. (CRD#:14251) HUNTINGTON, WV
B
01/11/2008 - 01/11/2008 AIG RETIREMENT ADVISORS, INC. (CRD#:42803) PITTSBURGH, PA
B
12/06/2005 - 07/09/2007 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) HUNTINGTON, WV
IA
05/07/2003 - 12/31/2005 CITISTREET FINANCIAL SERVICES LLC (CRD#:107311) ALPHARETTA, GA
B
03/05/2003 - 12/31/2005 CITISTREET EQUITIES LLC (CRD#:7447) SOMERSET, NJ
B
02/15/2002 - 03/19/2003 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
02/15/2002 - 03/19/2003 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
B
06/26/1992 - 01/22/1993 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
04/25/1988 - 12/31/1989 EQUITY SERVICES, INC. (CRD#:265)
B
02/07/1986 - 12/31/1989 EQUITY SERVICES, INC. (CRD#:265) MONTPELIER, VT
B
01/30/1987 - 05/24/1988 MML INVESTORS SERVICES, INC. (CRD#:10409)
B
01/30/1987 - 01/02/1988 MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY (CRD#:2682)
B
06/22/1984 - 02/24/1986 EQUICO SECURITIES, INC. (CRD#:6627)
B
06/22/1984 - 02/24/1986 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039)
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Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.