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E. W. JAMES JAMES SPRANDEL
E W JAMES SPRANDEL, E.W. JAMES SPRANDEL, EDWIN W J SPRANDEL, JAMES SPRANDEL, JIM SPRANDEL…
CRD#: 2073359
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 WOODRIDGE, IL
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 BEAUFORT, SC
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2007 (<1 year)2 FIRMS2007 - 2008 (<1 year)2 FIRMS2009 - 2010 (1 year)2 FIRMS2022 - Present (2 years)BSG AMERICAS SECURITIES, LLC (CRD# 128351)2015 - 2021 (6 years)BNEWEDGE USA, LLC (CRD# 36118)2010 - 2015 (4 years)
License(s)

State Registrations

B
Alabama 1/10/2022

B
Nevada 1/10/2022

B
Alaska 1/10/2022

B
New Hampshire 1/10/2022

B
Arizona 1/10/2022

B
New Jersey 1/10/2022

B
Arkansas 1/10/2022

B
New Mexico 1/10/2022

B
California 1/10/2022

B
New York 1/10/2022

B
Colorado 1/10/2022

B
North Carolina 1/10/2022

B
Connecticut 1/10/2022

B
North Dakota 1/10/2022

B
Delaware 1/10/2022

B
Ohio 1/10/2022

B
District of Columbia 1/10/2022

B
Oklahoma 1/10/2022

B
Florida 1/10/2022

B
Oregon 1/10/2022

B
Georgia 1/10/2022

B
Pennsylvania 1/10/2022

B
Hawaii 1/10/2022

B
Puerto Rico 1/10/2022

B
Idaho 1/10/2022

B
Rhode Island 1/10/2022

B
Illinois 1/10/2022

B
South Carolina 1/10/2022

B
Indiana 1/10/2022

IA
South Carolina 3/8/2023

B
Iowa 1/10/2022

B
South Dakota 1/10/2022

B
Kansas 1/10/2022

B
Tennessee 1/10/2022

B
Kentucky 1/10/2022

B
Texas 1/10/2022

B
Louisiana 1/10/2022

IA
Texas 2/13/2023

B
Maine 1/10/2022

B
Utah 1/10/2022

B
Maryland 1/10/2022

B
Vermont 1/10/2022

B
Massachusetts 1/10/2022

B
Virgin Islands 1/10/2022

B
Michigan 1/10/2022

B
Virginia 1/10/2022

B
Minnesota 1/10/2022

B
Washington 1/10/2022

B
Mississippi 1/10/2022

B
West Virginia 1/10/2022

B
Missouri 1/10/2022

B
Wisconsin 1/10/2022

B
Montana 1/10/2022

B
Wyoming 1/10/2022

B
Nebraska 1/10/2022

SRO Registrations

B
FINRA

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
WOODRIDGE, IL
ONE DESTINY WAY, WESTLAKE, TX 76262
Registered with this firm since 7/11/2022

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
BEAUFORT, SC
Registered with this firm since 1/10/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
B
01/02/2015 - 12/15/2021 SG AMERICAS SECURITIES, LLC (CRD#:128351) CHICAGO, IL
B
09/24/2010 - 01/02/2015 NEWEDGE USA, LLC (CRD#:36118) CHICAGO, IL
IA
04/17/2009 - 09/21/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHICAGO, IL
B
04/22/2009 - 09/21/2010 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) CHICAGO, IL
IA
11/14/2007 - 09/08/2008 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) WESTCHESTER, IL
B
11/14/2007 - 09/08/2008 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) WESTCHESTER, IL
IA
11/30/2006 - 09/17/2007 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) OAKBROOK, IL
B
10/30/2006 - 09/17/2007 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) OAKBROOK, IL
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Broker
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Investment Adviser
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.