Rob Spawn is a Bates Group Affiliate Expert who uses his 36+ years of financial industry experience to assist clients in matters concerning: financial advisor compensation plans, financial advisor client book analysis and practice management, client suitability, daily branch supervision and risk, human resources matters, and branch/regional P&L. Mr. Spawn is currently a Principal at Stella Consulting LLC, a firm which focuses on recruiting, organizational consulting and expert witness services.
Mr. Spawn began his financial services career in 1982 and has served in many roles dedicated to Retail Wealth Management. Specifically, he has served as a Financial Advisor (Merrill Lynch, Oppenheimer and Cowen), Personal Trust Consultant / Regional Manager (First Fidelity Bank and Merrill Lynch Trust), Sales Manager and Teams Consultant (Merrill Lynch, UBS) and Complex Director/Regional Director (UBS, RBC and JP Morgan), in offices throughout the United States: San Francisco, New York City, New Jersey, Las Vegas, Phoenix and Houston.
Mr. Spawn has been a FINRA arbitrator since 2010; he is a Certified Trust and Financial Advisor (CTFA) and a Chartered Advisor in Philanthropy (CAP). A graduate of Saint Michael’s College, Mr. Spawn is engaged in his community, lending his knowledge of fundraising and philanthropy to the Rex Foundation, the Delbarton School and SFJazz.
Stella Consulting, LLC, Principal, 2018-Present
JPMorgan Securities, Managing Director – Regional Director, 2015-2018
RBC Wealth Management, San Francisco, CA, Senior Managing Director – Complex Director, 2013-2015
UBS Financial Services, Las Vegas, NV, Houston, TX and New York, NY, Executive Director - Complex Director, 2006-2013
Merrill Lynch and Company, New York, NY, Vice President and Producing Sales Manager, 2001-2006
Merrill Lynch Trust Company, New York, NY, Senior Vice President and District Trust Manager, 1995-2001
First Fidelity Bank, Newark, NJ, Vice President and Regional Manager, 1991-1995
Cowen and Company, New York, NY, Financial Advisor, 1989-1991
Oppenheimer and Company, New York, NY, Financial Advisor, 1987-1989
Merrill Lynch and Company, New York, NY, Financial Advisor, 1982-1987
Saint Michael’s College, Colchester, VT, BA Business Administration
Series 3, 7, 9, 10, 65 and 63 (FINRA)
Life and Health Insurance License, California
Financial Industry Regulatory Authority (FINRA), Arbitrator, 2010-Present
American College, Charted Advisor in Philanthropy (CAP), 2005
American Banker’s Association, Certified Trust Financial Advisor (CTFA), 1994
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