Inactive

James Christopher Spirko

Sovereign Financial Group

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Current Employers

Sovereign Financial Group

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

Current Registrations

Authority	Category	Status	Date
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

Organization	City	State	From	To
Sovereign Financial Group	Raleigh	NC	10/2005	Present

10/2005 → Present

Sovereign Financial Group

Raleigh, NC

Exams

Code	Exam	Date
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

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ADVISORY SERVICES NETWORK

WELLS FARGO CLEARING SERVICES, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Other Investors

JAMES MICHAEL TARKENTON

CALEB ROBERT GRIFFITH

William Dean Cotton

Earl Scott Butcher

DAVID JEFFREY HERMAN

JAY DAVID MCKINNEY

BRANDON ALAN WALLS

Other Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC

FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC

OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · RALEIGH, NC

ADVISORY SERVICES NETWORK · RALEIGH, NC

FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC

WELLS FARGO CLEARING SERVICES, LLC · RALEIGH, NC

EDWARD JONES · RALEIGH, NC

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