Debra S. Spencer

SPENCER FINANCIAL STRATEGIES

Indianapolis, IN

Some features on this profile are disabled

CRD#: 1916269

Professional summary

Debra Sue Spencer, who also goes by Debra Sue Roach, Debbie Spencer, is a registered financial advisor currently at SPENCER FINANCIAL STRATEGIES located in Indianapolis, Indiana.

Debra is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Debra has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Debra Sue Roach | Debbie Spencer

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.

1.) Since 2012, Independent Insurance Agent for Life and Long Term Care Insurance, 3815 River Crossing Parkway #100, Indpls., IN 46240, 3 hrs/wk; 2.) Since 7/2023, OneHub1, LLC, owner of real estate brokerage firm and realtor - 8824 Faulkner Dr, Indpls, IN 46239, 10 hrs/year.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Debra Sue Spencer's CRS (Customer Relationship Summary).

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

Current

January 9, 2025 - Present

SPENCER FINANCIAL STRATEGIES

RIA

CRD#: 334095

Indianapolis, IN

Past

January 5, 2018 - January 16, 2025

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Indianapolis, IN

Past

January 5, 2018 - January 16, 2025

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Indianapolis, IN

Past

January 2, 2015 - January 17, 2018

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

RIA

CRD#: 8478

Indianapolis, IN

Past

January 2, 2015 - January 17, 2018

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

CRD#: 8478

Indianapolis, IN

Past

June 22, 2012 - January 12, 2015

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

GREENWOOD, IN

Past

June 22, 2012 - January 12, 2015

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

GREENWOOD, IN

Past

January 1, 2008 - June 22, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

INDIANAPOLIS, IN

Past

January 1, 2008 - June 22, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

INDIANAPOLIS, IN

Past

September 19, 2007 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

INDIANAPOLIS, IN

Past

September 19, 2007 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

INDIANAPOLIS, IN

Past

September 9, 2003 - September 14, 2007

PLANNED INVESTMENT CO., INC.

RIA

CRD#: 3050

INDIANAPOLIS, IN

Past

January 23, 2003 - September 14, 2007

PLANNED INVESTMENT CO., INC.

CRD#: 3050

INDIANAPOLIS, IN

Past

December 9, 2002 - January 27, 2003

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

WESTLAKE VILLAGE, CA

Past

January 21, 1992 - March 1, 1996

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

January 21, 1992 - April 19, 1996

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Past

March 6, 1989 - October 1, 1990

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Indiana
(1/9/2025)

IAR

Texas
(1/24/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/8/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/10/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/28/2010

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/12/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/7/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SPENCER FINANCIAL STRATEGIES

DBA SPENCER FINANCIAL STRATEGIES | SPENDES1, LLC | SPENCER FINANCIAL STRATEGIES

CRD#: 334095 / SEC#:

Indiana

Registered Investment Advisory firm - (1/9/2025 Approved)

Texas

Registered Investment Advisory firm - (1/24/2025 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Indianapolis, IN

Mailing Address

3815 River Crossing Pkwy #100, Indianapolis, IN 46240

Phone number

(317) 566-2050

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Debra S. Spencer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Debra Sue Spencer's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

PLANNED INVESTMENT CO., INC.

PLANNED INVESTMENT CO., INC.

FARMERS FINANCIAL SOLUTIONS, LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 9/8/2003

Series 63

Date: 12/10/2002

SIE

Date: 10/1/2018

Series 31

Date: 4/28/2010

Series 7

Date: 3/12/2003

Series 6

Date: 12/7/2002

Current Firm

SPENCER FINANCIAL STRATEGIES

Contact information

Documents

Red Flags

Company Information

SPENCER FINANCIAL STRATEGIES

TRUST BUT VERIFY

Similar Advisors