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 17 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 3 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 4 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 28 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.

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