Brian William Spencer
Professional Summary
Brian William Spencer was a registered financial advisor. Brian was a previously registered financial professional and started their career in finance 1992 - 2001. Brian had worked at 5 firms and has passed the Series 63, Series 55, Series 7, Series 24, Series 4 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
CORNERSTONE SECURITIES CORPORATION | PROTRADER SECURITIES, L.P. | PROTRADER SECURITIES L.P. | PROTRADER SECURITIES CORPORATION
Contact Information
Established
Texas since 02/05/2002Firm Type
Other Types of Legal FormationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSTINET GLOBAL HOLDINGS INC. | SHAREHOLDER | — |
| BALDERACH, STEFAN SHANE | SENIOR REGISTERED OPTIONS PRINCIPAL AND CHIEF COMPLIANCE OFFICER | 3102279 |
| CHRISTIE, JOEL ALAN | MUNICIPAL PRINCIPAL | 2740765 |
| HICKS, KIMBERLY ANN | CHIEF EXECUTIVE OFFICER | 3004984 |
| HOWARD, CRAIG STEWART | PRESIDENT, ADVERTISING PRINCIPAL AND CHIEF SUPERVISORY OFFICER | 1627266 |
| PIERCE, THOMAS WALKER | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 2888289 |
| WILSON, CHRISTOPHER THOMAS | DIRECTOR OF CLIENT/TRADER DEVELOPMENT | 2208379 |
| YEAGER, DAVID SCOTT | FINANCIAL AND OPERATIONS PRINCIPAL | 4146568 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Dec 1999Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Apr 1994Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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