William M. Spence
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.
William Mark Spence, who also goes by Mark Spence, W Mark Spence, William M Spence, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2004 - December 3, 2015
INDEPENDENT ADVISERS GROUP CORP
August 22, 2003 - November 24, 2015
OSAIC FS, INC.
January 31, 2003 - November 24, 2015
OSAIC FS, INC.
February 28, 2000 - January 22, 2003
EQUITABLE ADVISORS, LLC
September 24, 1984 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 24, 1984 - January 22, 2003
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
INDEPENDENT ADVISERS GROUP CORP
CRD#: 106684 / SEC#: 801-50971
Contact information
Red Flags
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