Michael W. 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 William Spencer, who also goes by Michael Williams Spencer, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 12 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 2006 - May 7, 2007
TERRA NOVA FINANCIAL, LLC
November 21, 2003 - April 12, 2004
ADVANCED EQUITIES, INC.
November 6, 2001 - December 31, 2001
OAK BROOK SECURITIES CORP.
November 15, 1995 - July 27, 1999
MILLS FINANCIAL SERVICES, INC.
May 2, 1995 - October 31, 1995
LEXINGTON SECURITIES, INC.
April 25, 1994 - February 28, 1995
PAULSON INVESTMENT COMPANY LLC
May 31, 1991 - May 6, 1994
SANCTUARY SECURITIES, INC.
May 21, 1990 - June 4, 1991
CIBC WORLD MARKETS CORP.
March 14, 1988 - May 23, 1990
J.P. MORGAN SECURITIES LLC
July 30, 1987 - April 14, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
August 28, 1985 - August 13, 1987
LEHMAN BROTHERS INC.
September 23, 1983 - August 30, 1985
E. F. HUTTON & COMPANY 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
Series 8
Date: 10/2/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TERRA NOVA FINANCIAL, LLC
CRD#: 37761 / SEC#: , 8-47943
Contact information
Documents
Disclosures
| Regulatory Event | 24 |
| Arbitration | 4 |
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.
