Joseph Hanczor has been Managing Director & Chief Compliance Officer of Spectrum Asset Management since August 2009, is not listed as a control person, but directly owns under 5% of the firm.
Spectrum Asset Management, Inc. is a Stamford, CT firm with $18.3B under management, 74 clients and 14 advisers across 4 offices, as of its August 2026 filing.
No adviser firm registrations are on Joseph Hanczor’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 21 November 2006 |
| Series 63 | Uniform Securities Agent State Law Examination | 17 October 2006 |
- Name
- Compliance Officer Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Joseph Andrew Hanczor
- CRD
- 5200684
- Firm
- Spectrum Asset Management · CRD 300463
- Role
- Managing Director & Chief Compliance Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Joseph Hanczor work?
Joseph Hanczor has been Managing Director & Chief Compliance Officer of Spectrum Asset Management, Inc. since August 2009.
Does Joseph Hanczor have a current investment-adviser registration?
Joseph Hanczor has a current broker registration and no current investment-adviser registration.
What exams has Joseph Hanczor passed?
Joseph Hanczor has passed 3 licensing exams: the Series 63, Series 24 and Series 14. The earliest, the Series 63, was passed in October 2006. FINRA credited Joseph Hanczor with the SIE, which began in October 2018.
Is Joseph Hanczor registered with FINRA?
Yes. Joseph Hanczor has a current broker registration, under CRD 5200684.
Source: FINRA BrokerCheck
How can I verify Joseph Hanczor’s record?
Search CRD 5200684 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Joseph Hanczor’s full registration record.