Patrick Spellman has been Chief Compliance Officer of Amg Funds since January 2011, is a control person of the firm and directly owns under 5% of it.
Amg Funds LLC is a Stamford, CT firm with $18.3B under management, 5 clients and 3 advisers across 2 offices, as of its March 2026 filing.
No adviser firm registrations are on Patrick Spellman’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 8 December 1999 |
| Series 24 | General Securities Principal Examination | 3 September 1999 |
| Series 7 | General Securities Representative Examination | 14 May 1999 |
- Name
- Compliance Officer Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Full name
- Patrick Joseph Spellman
- CRD
- 3086822
- Firm
- Amg Funds · CRD 153456
- Role
- Chief Compliance Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Patrick Spellman work?
Patrick Spellman has been Chief Compliance Officer of Amg Funds LLC since January 2011, and is a control person of the firm.
Does Patrick Spellman have a current investment-adviser registration?
Patrick Spellman has a current broker registration and no current investment-adviser registration.
What exams has Patrick Spellman passed?
Patrick Spellman has passed 4 licensing exams: the Series 7, Series 24, Series 66 and Series 14. The earliest, the Series 7, was passed in May 1999. FINRA credited Patrick Spellman with the SIE, which began in October 2018.
Is Patrick Spellman registered with FINRA?
Yes. Patrick Spellman has a current broker registration, under CRD 3086822.
Source: FINRA BrokerCheck
How can I verify Patrick Spellman’s record?
Search CRD 3086822 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Patrick Spellman’s full registration record.
