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James Christopher Spirko

Sovereign Financial Group

Raleigh, NC

CRD 2678102

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Employer firm

Sovereign Financial Group CRD 137145

$46.7M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
Sovereign Financial Group

4509 Creedmoor Road Suite 201, Raleigh, NC 27612-3813 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2005-10-25
  • NC RA
    APPROVED
    Since 2005-10-25

Branch Locations

4509 Creedmoor Road Suite 201, Raleigh, NC 27612-3813 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Sovereign Financial Group Raleigh NC 10/2005 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-08-19
S63 Uniform Securities Agent State Law Examination 1995-11-24
  • S65 Uniform Investment Adviser Law Examination
    2005-08-19
  • S63 Uniform Securities Agent State Law Examination
    1995-11-24
Other Names
  • Chris Spirko

View on SEC IAPD

Nearby Firms

TOWNSEND ASSET MANAGEMENT CORP.
FORTRESS PRIVATE LEDGER, LLC
OLDE RALEIGH FINANCIAL GROUP

Nearby Investors

ARNE W MORRIS
JAMES MICHAEL TARKENTON
CALEB ROBERT GRIFFITH

Nearby Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC

More in Raleigh, NC

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