Niva WealthLet’s talk

Jean Orlando

Financial Operations Principal & Chief Financial Officer at Spectrum Asset Management

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
6
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Jean Orlando is Financial Operations Principal & Chief Financial Officer of Spectrum Asset Management, Inc., a Stamford investment adviser managing $18.3B. Jean Orlando has a current broker registration and no current investment-adviser registration and has passed 6 licensing exams.

Role at Spectrum Asset Management

Title on Schedule A
Financial Operations Principal & Chief Financial Officer
Control
Jean Orlando is not a control person of Spectrum Asset Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Jean Orlando has held the filed role since February 2000.

The firm

Spectrum Asset Management, Inc.
Stamford, CT

Form ADV filed 5 August 2026

$18.3B AUM74 clients14 advisers2 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 27 · 2000
  4. Passed Series 7 and Series 63 · 1984
  5. Passed Series 3 · 1982

Registrations and exams

Broker registration; no current adviser registration. Jean Orlando has passed 6 qualifying exams.

Examinations

Series 638 February 1984
Name
Uniform Securities Agent State Law Examination
Series 2717 February 2000
Name
Financial and Operations Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 721 January 1984
Name
General Securities Representative Examination
Series 39 February 1982
Name
National Commodity Futures Examination

Individual record

Full name
Jean Marie Orlando
CRD
1197909
Firm
Spectrum Asset Management, Inc.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Jean Orlando work?

Jean Orlando has been Financial Operations Principal & Chief Financial Officer of Spectrum Asset Management, Inc. since February 2000.

Source: Form ADV, Schedule A, filed 5 August 2026

Does Jean Orlando have a current investment-adviser registration?

Jean Orlando has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Jean Orlando passed?

Jean Orlando has passed 6 licensing exams: the Series 3, Series 7, Series 63, Series 27, SIE and Series 99TO. The earliest, the Series 3, was passed in February 1982.

Source: IAPD individual record, checked 17 October 2026

Leadership at Spectrum Asset Management

  • Mark Lieb
    President & Chief Executive Officer
  • Matthew Byer
    Executive Director & Chief Operating Officer
  • Joseph Hanczor
    Managing Director & Chief Compliance Officer
  • Lewis Jacoby
    Executive Director & Chief Investment Officer

Sources

  1. IAPD individual record, CRD 1197909. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Spectrum Asset Management, Inc., filed 5 August 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Jean Orlando or Spectrum Asset Management, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.