Donald P. 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.
Donald Paul Spencer, who also goes by Don Spencer, Donald P. Spencer, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1986. Donald had worked at 3 firms and has passed the Series 63, Series 65, 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
June 10, 2015 - January 3, 2023
SIGULER GUFF GLOBAL MARKETS, LLC
March 3, 1989 - January 5, 1996
UBS ASSET MANAGEMENT (US) INC.
September 24, 1986 - February 13, 1989
ATALANTA SOSNOFF MANAGEMENT, LLC
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
SIGULER GUFF GLOBAL MARKETS, LLC
CRD#: 159534 / SEC#: , 8-68996
Contact information
FINRA licenses (52 States and Territories)
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.
