David Spano has been CEO of Annex Advisory Services since July 2003, is a control person of the firm and directly owns under 5% of it.
Annex Advisory Services, LLC is a Brookfield, WI firm with $8.05B under management, 6,802 clients and 74 advisers across 9 offices, as of its April 2026 filing.
Dave Spano is Chief Executive Officer of Annex Wealth Management, where he provides and implements the vision for the entire firm. He has 35 years of experience in the financial services industry. He has served as Chairman of the Board of the Financial Planning Association of Southern Wisconsin and on the boards of Summerfest, The Historic Third Ward, Lakeshore State Park and Miller Park Stadium Board.
David Spano’s longest registration is the current one, 21 years at Annex Advisory Services since 2004. Before joining Annex Advisory Services in 2004, David Spano was registered through Sii Investments, Inc.
- Annex Wealth Management, LLCCurrent– present · 21 yearsBrookfield, WI · Adviser representative · Firm CRD 127987
- Sii Investments, Inc.– · 14 yearsBrookfield, WI · Adviser representative · Firm CRD 2225
Professional designations
Listed by Annex Advisory Services
- CFP®
Investment adviser representative registrations
David Spano is registered as an investment adviser representative in 19 states. The first approvals date from December 2004; the most recent are Indiana, Kansas, Virginia and Washington, in February 2020.
- ArizonaSince 19 May 2014
- CaliforniaSince 24 August 2016
- ColoradoSince 23 May 2019
- FloridaSince 20 February 2009
- IllinoisSince 29 April 2009
- IndianaSince 26 February 2020
- KansasSince 26 February 2020
- KentuckySince 25 February 2020
- MichiganSince 23 May 2019
- MinnesotaSince 7 May 2014
- MissouriSince 23 May 2019
- New HampshireSince 23 May 2019
- North CarolinaSince 24 August 2016
- OhioSince 24 May 2019
- South CarolinaSince 24 August 2016
- TexasSince 22 April 2014
- VirginiaSince 26 February 2020
- WashingtonSince 26 February 2020
- WisconsinSince 3 December 2004
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 4 | Registered Options Principal Examination | 8 July 2002 |
| Series 65 | Uniform Investment Adviser Law Examination | 20 December 1999 |
| Series 24 | General Securities Principal Examination | 14 August 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 30 June 1988 |
| Series 7 | General Securities Representative Examination | 18 June 1988 |
- Name
- Securities Industry Essentials Examination
- Name
- Registered Options Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- David Joseph Spano
- CRD
- 1811176
- Firm
- Annex Advisory Services · CRD 127987
- Role
- CEO
- Office
- 17950 W. CORPORATE DRIVE, SUITE 300, Brookfield, WI 53045
- Registration
- Investment adviser registration
- In the industry since
- June 1988
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- annexwealth.com
Where does David Spano work?
David Spano has been CEO of Annex Advisory Services, LLC since July 2003, and is a control person of the firm.
Is David Spano a financial advisor?
Yes. David Spano has a current investment-adviser registration in Arizona, California, Colorado, Florida, Illinois, Indiana, Kansas, Kentucky, Michigan, Minnesota, Missouri, New Hampshire, North Carolina, Ohio, South Carolina, Texas, Virginia, Washington and Wisconsin, through Annex Advisory Services since December 2004.
How many years of experience does David Spano have?
David Spano has 38 years in the financial industry, since June 1988, across 2 adviser firms.
What exams has David Spano passed?
David Spano has passed 5 licensing exams: the Series 7, Series 63, Series 24, Series 65 and Series 4. The earliest, the Series 7, was passed in June 1988. FINRA credited David Spano with the SIE, which began in October 2018.
Where is David Spano based?
David Spano’s registered office is in Brookfield, WI.
Is David Spano registered with FINRA?
No. David Spano has no current broker registration.
Is David Spano a CFP?
Annex Advisory Services lists David Spano with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
How can I verify David Spano’s record?
Search CRD 1811176 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Spano’s full registration record.
