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Detailed Report
HENRY ALLEN SPAIN
HANK SPAIN
CRD#: 431254
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Investment Adviser
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Previous Broker
STRATOS WEALTH ADVISORS LLCCRD#: 283816 29525 Chagrin Blvd, Suite 305
Pepper Pike, OH 44122
Registration History
197519801985199019952000200520102015202020252 FIRMS1999 - 2021 (22 years)IASTRATOS WEALTH ADVISORS LLC (CRD# 283816)2024 - Present (<1 year)BFIRST UNION CAPITAL MARKETS CORP. (CRD# 6124)1998 - 1999 (<1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1990 - 1998 (8 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1980 - 1998 (18 years)BBUTCHER & SINGER INC. (CRD# 6517)1979 - 1980 (1 year)BGENERAL AMERICAN LIFE INSURANC... (CRD# 3963)1977 - 1979 (2 years)BTHE EQUITABLE LIFE ASSURANCE S... (CRD# 4039)1974 - 1976 (2 years)IACARNEGIE INVESTMENT COUNSEL (CRD# 150488)2021 - 2024 (2 years)
License(s)

State Registrations

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Ohio 4/10/2024
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Texas 4/10/2024
Current Registration(s)
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STRATOS WEALTH ADVISORS LLC (CRD#:283816)
29525 Chagrin Blvd, Suite 305, Pepper Pike, OH 44122
Registered with this firm since 4/10/2024
Previous Registration(s)
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 10/26/2021 - 04/15/2024 CARNEGIE INVESTMENT COUNSEL (CRD#:150488) PEPPER PIKE, OH
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 10/01/1999 - 10/29/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) PEPPER PIKE, OH
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 10/01/1999 - 10/29/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) PEPPER PIKE, OH
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 11/16/1998 - 10/01/1999 FIRST UNION CAPITAL MARKETS CORP. (CRD#:6124) CHARLOTTE, NC
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 10/22/1990 - 12/04/1998 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471)
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 09/23/1980 - 12/04/1998 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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 09/04/1979 - 10/02/1980 BUTCHER & SINGER INC. (CRD#:6517)
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 03/08/1977 - 07/01/1979 GENERAL AMERICAN LIFE INSURANCE COMPANY (CRD#:3963)
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 02/07/1974 - 10/12/1976 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.