Kirk Spano: Investment Management and Financial Planning

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Below are a list of relevant regulators throughout the financial industry.

	Web Link
	SEC The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.
	FINRA The Financial Industry Regulatory Authority (FINRA), is the largest non-governmental regulator for all securities firms doing business in the United States.
	SIPC The Securities Investor Protection Act of 1970 (SIPA) is a complex and technical statute. The Web site of the Securities Investor Protection Corporation provides a basic explanation of the Securities Investor Protection Corporation.
	OCI Wisconsin Office of the Commissioner of Insurance

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Investment Advisory services offered through Bluemound Asset Management, LLC. a Registered Investment Advisor in Wisconsin. Securities offered through H. Beck, Inc. Member FINRA & SIPC. Bluemound Asset Management, LLC and H. Beck are separate and unrelated companies. This site has been published for residents of: Wisconsin and Arizona only. All information herein has been prepared solely for informational purposes, and it is not an offer to buy or sell, or a solicitation of an offer to buy or sell any security.

Kirk Spano, 500 Elm Grove Road, Suite 200, Elm Grove, WI 53122 Telephone: 414-617-MONY

Serving throughout Wisconsin, including, but not limited to: Milwaukee, Wauwatosa, Brookfield, West Allis, Madison, Sun Prairie, Watertown, Appleton, Green Bay, De Pere, Oshkosh, Fon Du Lac, Sheboygan, Neenah, Manitiwoc, West Bend, La Crosse, Eau Claire, Superior, Wausau, Stevens Point, Waukesha, Menomonee Falls, Germantown, Mequon, Cedarburg, Grafton, Whitefish Bay, Fox Point, Bayside, Shorewood, Glendale, Elm Grove, Brown Deer, Kenosha, Racine, Mount Pleasant, Caledonia, Bay View, Mukwonago, Burlington, East Troy, Waterford, Lake Geneva, Janesville, Beloit, South Milwaukee, Cudahy, Franklin, Oak Creek, New Berlin, Greenfield, Big Bend, Vernon, Muskego...and Arizona for securities only: Phoenix, Mesa, Glendale, Chandler, Scottsdale, Gilbert, Tempe, Peoria, Yuma, Suprise, Sun City, Avondale, Goodyear, Litchtfield Park, Lake Havasu City, Maricopa, Casa Grande, Prescott, Flaggstaff, Tucson...