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Detailed Report
MARTHA ANN SPANO
MARTHA ANN SPANO MS
CRD#: 2078001
IA
Investment Adviser
B
Broker
GALLAGHER FIDUCIARY ADVISORS, LLCCRD#: 146509 18201 Von Karman, Ste. 200
Irvine, CA 92612
OSAIC WEALTH, INC.CRD#: 23131 18201 Von Karman
Ste 200
Irvine, CA 92612
Registration History
19952000200520102015202020252 FIRMS2021 - 2021 (<1 year)2 FIRMS2016 - 2022 (6 years)IAGALLAGHER FIDUCIARY ADVISORS, LLC (CRD# 146509)2022 - Present (2 years)BOSAIC WEALTH, INC. (CRD# 23131)2024 - Present (<1 year)BTRIAD ADVISORS LLC (CRD# 25803)2022 - 2024 (2 years)BPHOENIX EQUITY PLANNING CORPOR... (CRD# 3036)2002 - 2004 (1 year)BUST FINANCIAL SERVICES CORP. (CRD# 36881)2000 - 2002 (2 years)BSCUDDER INVESTOR SERVICES, INC. (CRD# 754)1999 - 2000 (1 year)BSEI FINANCIAL SERVICES COMPANY (CRD# 10690)1991 - 1993 (2 years)IAWATSON WYATT INVESTMENT CONSUL... (CRD# 110473)2006 - 2009 (3 years)
License(s)

State Registrations

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Arizona 8/23/2024
B
Michigan 8/23/2024
IA
California 6/6/2022
B
Nevada 8/23/2024
B
California 8/23/2024
B
Pennsylvania 8/23/2024
B
Colorado 8/23/2024
B
Washington 8/23/2024
B
Hawaii 8/23/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
GALLAGHER FIDUCIARY ADVISORS, LLC (CRD#:146509)
18201 Von Karman, Ste. 200, Irvine, CA 92612
Registered with this firm since 6/6/2022
B
OSAIC WEALTH, INC. (CRD#:23131)
18201 Von Karman Ste 200, Irvine, CA 92612
Registered with this firm since 8/23/2024
Previous Registration(s)
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 06/01/2022 - 08/23/2024 TRIAD ADVISORS LLC (CRD#:25803) Irvine, CA
IA
 03/07/2016 - 04/07/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) Los Angeles, CA
B
 02/16/2016 - 04/07/2022 UBS FINANCIAL SERVICES INC. (CRD#:8174) Los Angeles, CA
IA
 01/15/2021 - 02/16/2021 BANKERS LIFE ADVISORY SERVICES, INC. (CRD#:281285) NORTHRIDGE, CA
B
 01/15/2021 - 02/16/2021 BANKERS LIFE SECURITIES, INC. (CRD#:173962) NORTHRIDGE, CA
IA
 06/22/2006 - 06/30/2009 WATSON WYATT INVESTMENT CONSULTING INC (CRD#:110473) UNIVERSAL CITY, CA
B
 10/01/2002 - 04/27/2004 PHOENIX EQUITY PLANNING CORPORATION (CRD#:3036) HARTFORD, CT
B
 06/06/2000 - 07/02/2002 UST FINANCIAL SERVICES CORP. (CRD#:36881) NEW YORK, NY
B
 06/21/1999 - 06/13/2000 SCUDDER INVESTOR SERVICES, INC. (CRD#:754) NEW YORK, NY
B
 02/19/1991 - 04/23/1993 SEI FINANCIAL SERVICES COMPANY (CRD#:10690) OAKS, PA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.