Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
JOHN HENRY SPERGER
CRD#: 4808720
IA
Investment Adviser
B
Previous Broker
EDELMAN FINANCIAL ENGINESCRD#: 104510 225 SOUTH LAKE AVENUE
SUITE 1185
PASADENA, CA 91101
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - 2006 (1 year)2 FIRMS2007 - 2011 (4 years)2 FIRMS2011 - 2016 (4 years)2 FIRMS2016 - 2018 (2 years)IAEDELMAN FINANCIAL ENGINES (CRD# 104510)2018 - Present (6 years)BSANDERS MORRIS HARRIS LLC (CRD# 20580)2016 - 2016 (<1 year)BCITICORP INVESTMENT SERVICES (CRD# 23988)2006 - 2007 (1 year)
License(s)

State Registrations

IA
California 11/1/2018
IA
Texas 3/14/2019
Current Registration(s)
IA
EDELMAN FINANCIAL ENGINES (CRD#:104510)
225 SOUTH LAKE AVENUE SUITE 1185, PASADENA, CA 91101
Registered with this firm since 11/1/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/03/2016 - 11/01/2018 EDELMAN FINANCIAL SERVICES, LLC (CRD#:113299) PASADENA, CA
B
 04/22/2016 - 10/31/2018 EF LEGACY SECURITIES, LLC (CRD#:269923) PASADENA, CA
B
 02/03/2016 - 04/22/2016 SANDERS MORRIS HARRIS LLC (CRD#:20580) PASADENA, CA
IA
 08/11/2011 - 02/10/2016 STRATEGIC ADVISERS, INC. (CRD#:104555) WOODLAND HILLS, CA
B
 08/02/2011 - 02/09/2016 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) WOODLAND HILLS, CA
IA
 06/13/2007 - 07/14/2011 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
B
 05/29/2007 - 07/14/2011 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) LOS ANGELES, CA
B
 04/26/2006 - 05/29/2007 CITICORP INVESTMENT SERVICES (CRD#:23988) GLENDALE, CA
IA
 04/11/2005 - 03/30/2006 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) LA CANANDA, CA
B
 03/31/2005 - 03/30/2006 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
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.