Spencer P. Saffran
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 Philip Saffran was a registered financial professional .
Spencer is a previously registered financial professional and started their career in finance in 1991. Spencer had worked at 5 firms and has passed the Series 63, 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
October 9, 1995 - January 18, 1996
INVESTORS ASSOCIATES, INC.
January 13, 1995 - June 14, 1995
JOSEPH ROBERTS & CO., INC.
October 15, 1993 - December 21, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 21, 1992 - October 15, 1993
BILTMORE SECURITIES, INC.
June 27, 1991 - January 22, 1992
STRATTON OAKMONT 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
Exams
Current Firm
INVESTORS ASSOCIATES, INC.
CRD#: 958 / SEC#: , 8-15007
Contact information
Documents
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.
