Michael R. Spencer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Robert Spencer was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1983. Michael had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2014 - March 23, 2021
BROKERBANK SECURITIES, INC.
December 12, 2013 - February 4, 2014
SB ADVISORY, LLC
August 28, 2012 - February 4, 2014
IFS SECURITIES
March 16, 2009 - April 16, 2012
DALTON STRATEGIC INVESTMENT SERVICES INC.
November 13, 2007 - March 17, 2009
NATIONAL PLANNING CORPORATION
March 4, 1997 - November 13, 2007
GROVE POINT INVESTMENTS, LLC
April 11, 1995 - March 13, 1997
SUNAMERICA SECURITIES, INC.
January 4, 1993 - April 13, 1995
IFG NETWORK SECURITIES, INC.
January 14, 1991 - December 31, 1992
PLANNED INVESTMENTS INC.
January 31, 1983 - January 30, 1991
PFS INVESTMENTS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BROKERBANK SECURITIES, INC.
CRD#: 130116 / SEC#: , 8-66310
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WRIGHT, PHILIP PAUL | CEO AND CHIEF COMPLIANCE OFFICER | 2453688 |
| COMMUNITYLEADER, INC. | C CORPORATION |
Disclosures
| Regulatory Event | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
