William L. Spencer

JONESTRADING

Daniel Island, SC 29492

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CRD#: 1347750

Professional summary

William Langhorne Spencer, who also goes by William Langhorne Spencer, is a registered financial professional currently at JONESTRADING located in Daniel Island, South Carolina.

William is registered as a RR (Registered Representative) and started their career in finance in 1985. William has worked at 11 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

William Langhorne Spencer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Langhorne Spencer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 3, 2025 - Present

JONESTRADING

Office #1: 880 Island Park Drive 3rd Floor, Daniel Island, SC 29492

CRD#: 46534

HAYESVILLE, NC

Past

May 1, 1985 - August 2, 1994

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(9/3/2025)

Colorado
(9/3/2025)

Connecticut
(9/3/2025)

Florida
(9/3/2025)

Georgia
(9/3/2025)

Hawaii
(9/3/2025)

Maryland
(9/3/2025)

Massachusetts
(9/3/2025)

New Jersey
(9/8/2025)

New York
(9/3/2025)

North Carolina
(9/3/2025)

Pennsylvania
(9/3/2025)

South Carolina
(9/3/2025)

Tennessee
(9/3/2025)

Texas
(9/4/2025)

Utah
(9/3/2025)

Virginia
(9/3/2025)

Exams

State Security Law Exam

Series 63

Date: 3/6/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/20/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

JONESTRADING

JONES & ASSOCIATES, INC. | JONESTRADING INSTITUTIONAL SERVICES LLC | JONESTRADING | JONES INSTITUTIONAL TRADING SERVICES, INC.

CRD#: 6888 / SEC#: , 8-26089

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

555 Saint Charles Drive Suite #200, Thousand Oaks, CA 91360

Mailing Address

555 Saint Charles Drive, Thousand Oaks, CA 91360

Phone number

(818) 991-5500

Established

Delaware since 08/15/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
JONES & ASSOCIATES, INC.	HOLDING COMPANY
BELL, JEREMY DAVID	CCO	4498676
CHMIELEWSKI, STEVEN ANDREW	DIRECTOR	2066307
COHEN, SHLOMO	DIRECTOR	2877188
COOK, BURKE MCCLAIN	CORPORATE SECRETARY / LEGAL COUNSEL	4863190
HILL, ALAN FINBAR	CEO / DIRECTOR	5182098
KIRSCH, WILLIAM TANNER	DIRECTOR	5428522
LEVEEN, JEFFREY EARLE JR	DIRECTOR	2919172
MICSKY, JEFFREY A	DIRECTOR	4820920
ONEIL, TIMOTHY DAWSON	EXECUTIVE CHAIRMAN	2355507
TESORO, ANTHONY JAMES	DIRECTOR
TESORO, PHILLIP JAMES	DIRECTOR	2009378
WONG, JEFFREY RYAN	FINANCIAL AND OPERATIONS PRINCIPAL	4428807

Disclosures

Regulatory Event

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.

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William L. Spencer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Langhorne Spencer's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAREX CAPITAL MARKETS INC.

COWEN AND COMPANY

COWEN PRIME SERVICES LLC

COWEN EXECUTION SERVICES LLC

CONVERGEX PRIME SERVICES LLC

KNIGHT CAPITAL AMERICAS, L.P.

CONVERGEX PRIME SERVICES LLC

TETON INVESTMENT PARTNERS, LLC

BROADWAY TRADING, LLC

JOPCO SECURITIES, LLC

ALEX. BROWN & SONS INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 3/6/1999

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/20/1985

Series 24

Date: 1/2/2023

FINRA

Nasdaq Stock Market

Current Firm

JONESTRADING

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

JONESTRADING

TRUST BUT VERIFY

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