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2023080632301 Brandon V. Spano CRD 4601257 AWC lp (2025-1763684398761).pdf

Between March 2020 and May 2023, while associated with Equitable Advisors, Spano engaged in an outside business activity involving acquiring real estate without providing written notice to his firm. As a result, he violated FINRA Rules 3270 and 2010. For this conduct, Spano is suspended in all capacities for three months and fined $5,000.

Regulatory Notice 25-14

Summary

FINRA's Renewal Program facilitates the collection and disbursement of fees for broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting, and notice filings with participating self-regulatory organizations (SROs) and jurisdictions. The program operates through two key statements:

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