Robert B. Spawn

Robert B. Spawn

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.


Robert B. Spawn

A Consultant and subject matter expert in these services:

  • Securities and Financial Services Litigation & Consulting
    • Retail
      • Securities and Financial Services Litigation & Consulting
      • Bad Faith
      • Banking
      • Branch Management
      • Broker Obligations
      • Employment Practices Liability
      • Elder Issues
      • Employment
      • Fiduciary Duties/Responsibilities
      • Fiduciary Investments
      • General Market Decline
      • Investment Management
      • P&L Analysis
      • Registered Investment Advisers - RIAs
      • Selling Away
      • Senior Investors
      • Sales Supervision
      • Sales Practice
      • Securities Lending Accounts
      • Suitability
      • Supervision
      • Unauthorized Trading
      • Wealth Management



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