SPOOR, T. RICHARD
CRD #146486 SEC #801-68962 SALISBURY, CT 860-435-0964
SEC Registered
Total AUM
$105.2M
Discretionary
$59.1M
Employees
1
Clients
0
Accounts
70
Firm Details
- Organization Type
- Sole Proprietorship
- State of Formation
- Connecticut
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 21, 2018
- Branch Offices
- 1
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| SPOOR, T., RICHARD | I | SOLE PROPRIETOR & CHIEF COMPLIANCE OFFICER | E | Control |
| SPOOR, T., RICHARD | I | SOLE PROPRIETOR & CHIEF COMPLIANCE OFFICER | E | Control |
| SPOOR, THOMAS, RICHARD | I | SOLE PROPRIETOR & CHIEF COMPLIANCE OFFICER | E | Control |
| SPOOR, THOMAS, RICHARD | I | SOLE PROPRIETOR & CHIEF COMPLIANCE OFFICER | E | Control |
| SPOOR, THOMAS, RICHARD | I | SOLE PROPRIETOR & CHIEF COMPLIANCE OFFICER | E | Control |
| SPOOR, THOMAS, RICHARD | I | SOLE PROPRIETOR & CHIEF COMPLIANCE OFFICER | E | Control |
| SPOOR, THOMAS, RICHARD | I | SOLE PROPRIETOR & CHIEF COMPLIANCE OFFICER | E | Control |
| SPOOR, THOMAS, RICHARD | I | SOLE PROPRIETOR & CHIEF COMPLIANCE OFFICER | E | Control |
| SPOOR, THOMAS, RICHARD | I | SOLE PROPRIETOR & CHIEF COMPLIANCE OFFICER | E | Control |
| SPOOR, THOMAS, RICHARD | I | SOLE PROPRIETOR & CHIEF COMPLIANCE OFFICER | E | Control |
Registrations
Federal
IA
Mar 21, 2018 REGISTERED
Notice Filings (1)
CT
Address
87 CANAAN ROADUNIT 5C
SALISBURY, CT 06068
United States
Phone: 860-435-0964