Individual Firm
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Brian William Spangler
BRIAN W SPANGLER
CRD#: 4468322
IA
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EDWARD JONESCRD#: 250 3061 S Church St
Burlington, NC 27215
Burlington, NC 27215
0
Disclosures
23
Years of Experience
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State Registrations
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Arizona 1/3/2011
B
New York 8/11/2010
B
California 2/25/2025
B
North Carolina 8/1/2005
B
Colorado 9/17/2009
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North Carolina 8/5/2005
B
Florida 8/1/2005
B
Oklahoma 12/2/2020
B
Georgia 5/21/2010
B
South Carolina 8/1/2005
B
Maryland 12/19/2011
B
Texas 7/28/2011
B
Massachusetts 9/7/2016
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Texas 1/10/2019
B
Missouri 10/28/2005
B
Virginia 8/1/2005
SRO Registrations
B
B
B
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Registered with this firm since 8/5/2005
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Registered with this firm since 8/1/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/07/2004 - 08/05/2005 | BURLINGTON, NC | |
B | 01/10/2002 - 08/05/2005 | ST. LOUIS, MO | |
B | 11/01/2001 - 12/19/2001 | NEW YORK, NY |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.