Lane R. Spencer

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CRD#: 2265385

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.

Lane R Spencer was a registered financial professional .

Lane is a previously registered financial professional and started their career in finance in 1992. Lane had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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. Ready RDC, LLC; not investment related; Mesa, AZ; Real Estate Development Services; Owner; Start Date: ; 0hrs/mnth during securities trading hours; XX hrs/mnth outside of securities trading hours.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 24, 2025 - April 22, 2025

PROSPER PRIVATE WEALTH

RIA

CRD#: 333708

MESA, AZ

Past

March 22, 2023 - April 9, 2025

SUMMIT GLOBAL INVESTMENTS, LLC

RIA

CRD#: 157091

Mesa, AZ

Past

July 1, 1993 - July 22, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

March 9, 1993 - June 11, 1993

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

Past

August 19, 1992 - March 2, 1993

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PROSPER PRIVATE WEALTH

PROSPER PRIVATE WEALTH | PROSPER PRIVATE WEALTH, LLC

CRD#: 333708 / SEC#: 801-132061

RIA

Registered Investment Advisory firm - (3/5/2025 Approved)

Arizona

Registered Investment Advisory firm - (9/30/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/24/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/31/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/19/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/1992

General Securities Representative Examination

Current Firm

PROSPER PRIVATE WEALTH

PROSPER PRIVATE WEALTH | PROSPER PRIVATE WEALTH, LLC

CRD#: 333708 / SEC#: 801-132061

RIA

Registered Investment Advisory firm - (3/5/2025 Approved)

Arizona

Registered Investment Advisory firm - (9/30/2025 Terminated)

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Contact information

Main Address

4140 E Baseline Road Suite 101, Mesa, AZ 85206

Mailing Address

Phone number

(888) 404-3042

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PROSPER 2A BROCHURE (2/14/2025)

Regulatory assets under management

Total Number of Accounts	167
AUM (Assets Under Management)	$ 112,686,573

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.

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Advisor Monitoring

Firm Stability Insights

Lane R. Spencer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SUMMIT GLOBAL INVESTMENTS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

PROSPER PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 12/24/2022

Series 63

Date: 8/31/1992

SIE

Date: 12/19/2022

Series 7

Date: 8/17/1992

Current Firm

PROSPER PRIVATE WEALTH

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PROSPER PRIVATE WEALTH

TRUST BUT VERIFY

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