Margo 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.
Margo Renee Spencer, who also goes by Margo S Cummings, Margo R Peebles, Margo Renee Peebles, Margo R Spencer, was a registered financial professional .
Margo is a previously registered financial professional and started their career in finance in 1989. Margo had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2012 - November 21, 2025
EDWARD JONES
September 27, 2012 - November 21, 2025
EDWARD JONES
May 27, 2011 - June 4, 2012
SPC
May 12, 2011 - June 4, 2012
PARKLAND SECURITIES, LLC
November 27, 2007 - May 12, 2011
VSR FINANCIAL SERVICES, INC.
November 19, 2007 - May 12, 2011
VSR FINANCIAL SERVICES, INC.
October 31, 2005 - November 19, 2007
OSAIC SERVICES, INC.
October 31, 2005 - November 19, 2007
OSAIC SERVICES, INC.
March 31, 2003 - December 31, 2004
SPELMAN & CO., INC.
March 31, 2003 - December 31, 2004
SENTRA SECURITIES CORPORATION
February 4, 2002 - October 31, 2005
SUNAMERICA SECURITIES, INC.
December 17, 1997 - October 31, 2005
SUNAMERICA SECURITIES, INC.
August 18, 1997 - October 27, 1997
SUNAMERICA SECURITIES, INC.
August 19, 1996 - May 8, 1997
WELLS FARGO SECURITIES INC.
August 4, 1995 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
March 21, 1993 - November 16, 1995
ESSEX NATIONAL SECURITIES, LLC
October 15, 1992 - February 12, 1993
HORNOR, TOWNSEND & KENT, LLC
January 27, 1992 - March 31, 1992
AEGON USA SECURITIES INC.
September 19, 1989 - May 29, 1990
BOETTCHER & COMPANY, INC.
Primary Firm SEC Registration
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
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
EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 160 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
