Philip M. Spencer
Professional summary
Philip Michael Spencer is a registered financial advisor currently at FAMILY INVESTMENT MANAGEMENT L.P. located in Carlsbad, California and LPL FINANCIAL LLC located in Carlsbad, California.
Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Philip has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 9, Series 10, Series 53 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Philip Michael Spencer's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 20, 2014 - Present
FAMILY INVESTMENT MANAGEMENT L.P.
September 19, 2003 - Present
LPL FINANCIAL LLC
September 19, 2003 - October 28, 2015
LPL FINANCIAL LLC
May 24, 2000 - October 2, 2003
UBS FINANCIAL SERVICES INC.
May 22, 2000 - October 2, 2003
UBS FINANCIAL SERVICES INC.
June 20, 1997 - May 23, 2000
PRUDENTIAL EQUITY GROUP, LLC
November 26, 1993 - June 17, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 31, 1993 - December 2, 1993
CITIGROUP GLOBAL MARKETS INC.
August 19, 1991 - July 31, 1993
LEHMAN BROTHERS INC.
October 19, 1988 - August 19, 1991
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/19/2003)
(1/18/2023)
(9/19/2003)
(5/20/2014)
(9/2/2005)
(10/1/2007)
(9/19/2003)
(8/15/2024)
(9/19/2003)
(1/6/2005)
(7/3/2013)
(2/23/2009)
(8/4/2005)
(9/3/2024)
(10/1/2007)
(9/19/2003)
(9/19/2003)
(6/22/2015)
(9/19/2003)
(7/10/2023)
(2/22/2018)
(7/19/2018)
(8/29/2019)
(9/19/2003)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 8
Date: 8/19/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
FAMILY INVESTMENT MANAGEMENT L.P.
CRD#: 170281 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 125 |
| AUM (Assets Under Management) | $ 27,873,289 |
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.
