PS
CFP
PS
CFP
Paul Spizzuoco is a CFP-designated registered investment advisor, based in Rockland, ME, with 26 years of industry experience. Paul is also registered as a broker, so some compensation may come from commissions on products sold.
Location
91 Camden Street, Suite 310, Rockland, ME, 04841
Get directionsHistory
Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2008Settled
Customer Dispute
April 2008Settled
Customer Dispute
March 2008Settled
Other Business ActivitiesSells Insurance
Paul is a wealth advisor at Apollon New England, dedicating nearly full-time hours to this role. He also sells fixed insurance products, spending minimal time on this activity.
Employment History
Current Registrations
Purshe Kaplan Sterling InvestmentsBroker
August 2021 - Present · 5 yrs 2 mos
Apollon Wealth Management, LLC
August 2021 - Present · 5 yrs 2 mos
Previous Registrations
UBS Financial Services INC.
August 2002 - September 2021 · 19 yrs 1 mo
UBS Financial Services INC.Broker
January 2000 - September 2021 · 21 yrs 8 mos
State Registrations2 states
MENJ
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.