Spectrum Asset Management Inc.

Spectrum Asset Management Inc. (CRD# 111007) is a financial advisory firm headquartered in Newport Beach, CA. They manage $434,327,660 in 773 accounts and serve the financial needs of clients across 3 states (or territories).

By the Numbers
  • Total Assets Under Management
    434
    MILLION
  • Total Number of Accounts
    773
    ACCOUNTS
  • Average Account Value
    $561,873
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

CA, HI, TX

Financial Advisors at Spectrum Asset Management Inc.
Showing 1 - 6 of 6 top financial advisors.
1
Tony K. Jung
CRD#: 3241976
1301 Dove Street, Suite 970, Newport Beach, CA 92660
93
Wealthminder
score

Tony Jung (CRD# 3241976) is an Investment Advisor Representative working at Spectrum Asset Management Inc. in Newport Beach, CA and has over 18 years of experience in the finance industry.

2
Sean M. Cummings
CRD#: 6055728
1301 Dove Street, Suite 970, Newport Beach, CA 92660
90
Wealthminder
score

Sean Cummings (CRD# 6055728) is an Investment Advisor Representative working at Spectrum Asset Management Inc. in Newport Beach, CA and has over 4 years of experience in the finance industry.

3
Nancy J. Howard
CRD#: 1786676
1301 Dove Street, Suite 970, Newport Beach, CA 92660
90
Wealthminder
score

Nancy Howard (CRD# 1786676) is an Investment Advisor Representative working at Spectrum Asset Management Inc. in Newport Beach, CA and has 1 year of experience in the finance industry. Nancy Howard has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

4
Ryan L. Kelly
CRD#: 4394440
1301 Dove Street, Suite 970, Newport Beach, CA 92660
90
Wealthminder
score

Ryan Kelly (CRD# 4394440) is an Investment Advisor Representative working at Spectrum Asset Management Inc. in Newport Beach, CA and has over 5 years of experience in the finance industry.

5
Roland D. Kelly
CRD#: 4394435
1301 Dove Street, Suite 970, Newport Beach, CA 92660
87
Wealthminder
score

Roland Kelly (CRD# 4394435) is an Investment Advisor Representative working at Spectrum Asset Management Inc. in Newport Beach, CA and has 1 year of experience in the finance industry.

6
Michael J. Ottman
CRD#: 1523128
1301 Dove Street, Suite 970, Newport Beach, CA 92660
86
Wealthminder
score

Michael Ottman (CRD# 1523128) is an Investment Advisor Representative working at Spectrum Asset Management Inc. in Newport Beach, CA and has over 29 years of experience in the finance industry. Michael Ottman has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

Ready to hire a financial advisor? Get competitive proposals from multiple advisors.
Disclosure
Advisor profile scores displayed on this site are derived using the following criteria. Step 1: An advisor profile rating starts with a baseline score of 90 points. Step 2: The advisor score is increased from the baseline after screening for 3 criteria: years of experience, industry credentials and completeness of profile. Step 3: The advisor score is decreased after screening for publicly available disclosure events such as litigation or regulatory matters. Such decreases relate to the existence of a disclosure and, in most cases, do not account for timing, magnitude or severity of such disclosure. Many other factors are not considered in the scoring such as financial stability, fees, affiliations and educational background, and you should carefully consider these factors. The criteria are based on information Wealthminder deems helpful and available at the time of the scoring. Scores do not vary based on qualitative feedback from users. Advisor presentation and visibility and allocation of proposals will vary for advisors who pay a marketing plan program fee. Wealthminder does not recommend or provide any warranty or guarantee of the quality or suitability of any specific advisor or products or services offered by such advisor. Please consult regulatory sites for additional information about advisors’ background.