Robert W. 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.
Robert Williams Spencer JR, who also goes by Bob Spencer, Robert William Spencer, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2009 - January 7, 2021
STIFEL INDEPENDENT ADVISORS, LLC
September 4, 2009 - January 7, 2021
STIFEL INDEPENDENT ADVISORS, LLC
February 26, 1999 - December 24, 2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 12, 1995 - December 24, 2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 3, 1995 - July 20, 1995
VERAVEST INVESTMENTS, INC.
November 18, 1988 - May 6, 1994
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 1, 1988 - November 18, 1988
ROWLAND, SIMON & CO.
April 29, 1987 - February 1, 1988
R. ROWLAND & CO., INCORPORATED
Primary Firm SEC Registration
STIFEL INDEPENDENT ADVISORS, LLC
CRD#: 28218 / SEC#: 801-43561, 8-43514
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
Series 8
Date: 10/16/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STIFEL INDEPENDENT ADVISORS, LLC
CRD#: 28218 / SEC#: 801-43561, 8-43514
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQUITABLE DISTRIBUTION HOLDING CORPORATION | MEMBER | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 |
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.
