Spencer J. Jackson

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CRD#: 1605837

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.

Spencer Jose Van Jackson was a registered financial professional .

Spencer is a previously registered financial professional and started their career in finance in 1988. Spencer had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 5, 2017 - June 5, 2018

W.R. HAMBRECHT + CO., LLC

CRD#: 45040

SAN FRANCISCO, CA

Past

January 6, 2015 - April 24, 2015

W.R. HAMBRECHT + CO., LLC

CRD#: 45040

SAN FRANCISCO, CA

Past

July 18, 2013 - July 30, 2013

W.R. HAMBRECHT + CO., LLC

CRD#: 45040

SAN FRANCISCO, CA

Past

February 14, 2005 - December 14, 2011

THINKEQUITY LLC

CRD#: 44274

SAN FRANCISCO, CA

Past

March 5, 2003 - February 10, 2005

CITIZENS JMP SECURITIES, LLC

CRD#: 22208

SAN FRANCISCO, CA

Past

July 11, 2002 - February 24, 2003

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

July 31, 1999 - October 10, 2000

E*OFFERING

CRD#: 36717

SAN FRANCISCO, CA

Past

March 18, 1998 - July 31, 1999

COWEN PRIME SERVICES TRADING LLC

CRD#: 23857

NEW YORK, NY

Past

April 1, 1992 - March 5, 1998

HAMBRECHT & QUIST LLC

CRD#: 940

SAN FRANCISCO, CA

Past

April 13, 1989 - April 6, 1992

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

January 26, 1989 - April 4, 1989

THE BENHAM GROUP

CRD#: 18784

Past

January 20, 1988 - January 2, 1989

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 2/16/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/5/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/17/2009

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/6/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 12/17/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

W.R. HAMBRECHT + CO., LLC

W.R. HAMBRECHT & CO., LLC | W.R. HAMBRECHT + CO., LLC | W.R. HAMBRECHT & COMPANY, LLC

CRD#: 45040 / SEC#: , 8-50935

Withdrawn by SEC on 08/14/2018

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 05/24/1999

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
HAMBRECHT PARTNERS HOLDINGS, LLC	OWNER
AARON, STEVEN ROSS	CHIEF COMPLIANCE OFFICER	1298072
HULLAR, JOHN PAUL	CHAIRMAN & MANAGING PARTNER	711679
YATES, EUGENE ALAN	CHIEF FINANCIAL OFFICER/FINOP	2851324

Disclosures

Regulatory Event	10
Civil Event	3

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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Advisor Monitoring

Firm Stability Insights

Spencer J. Jackson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

W.R. HAMBRECHT + CO., LLC

W.R. HAMBRECHT + CO., LLC

THINKEQUITY LLC

CITIZENS JMP SECURITIES, LLC

QUEST CAPITAL STRATEGIES, INC.

E*OFFERING

COWEN PRIME SERVICES TRADING LLC

HAMBRECHT & QUIST LLC

CHARLES SCHWAB & CO., INC.

THE BENHAM GROUP

HORNOR, TOWNSEND & KENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/16/1988

SIE

Date: 6/5/2018

Series 7

Date: 1/16/1988

Series 53

Date: 3/17/2009

Series 24

Date: 12/6/2006

Series 8

Date: 12/17/1997

Current Firm

W.R. HAMBRECHT + CO., LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

W.R. HAMBRECHT + CO., LLC

TRUST BUT VERIFY

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