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Michael Charles Spangler
MICHAEL C SPANGLER, MICHAEL CHARLES SPANGLER
CRD#: 4163763
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 8500 ANDREW CARNEGIE BLVD.
CHARLOTTE HUB
CHARLOTTE, NC 28262
CHARLOTTE HUB
CHARLOTTE, NC 28262
NUVEEN SECURITIES, LLCCRD#: 469 8500 ANDREW CARNEGIE BLVD.
CHARLOTTE, NC 28262
CHARLOTTE, NC 28262
0
Disclosures
23
Years of Experience
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State Registrations
B
North Carolina 5/15/2018
IA
North Carolina 5/15/2018
SRO Registrations
B
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IA
Registered with this firm since 5/15/2018
B
Registered with this firm since 11/5/2021
B
Registered with this firm since 5/15/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/05/2009 - 05/07/2018 | FORT MILL, SC | |
B | 11/05/2009 - 05/07/2018 | FORT MILL, SC | |
IA | 12/01/2008 - 01/20/2009 | CHARLOTTE, NC | |
B | 12/01/2008 - 01/20/2009 | CHARLOTTE, NC | |
IA | 09/28/2005 - 09/18/2008 | CHARLOTTE, NC | |
B | 05/22/2002 - 09/18/2008 | CHARLOTTE, NC | |
B | 11/27/2001 - 01/18/2002 | NEW YORK, NY | |
B | 06/02/2000 - 11/28/2001 | JERSEY CITY, NJ |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.