Scott A. Spencer

REALIZED FINANCIAL

Austin, TX

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CRD#: 2384319

Professional summary

Scott Allen Spencer is a registered financial advisor currently at REALIZED FINANCIAL, INC. located in Austin, Texas.

Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Scott has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 22 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Scott Spencer, music & guitar performance, Austin, TX - not investment related. 5 hours per week outside of trading hours, practice and performance on average

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Allen Spencer's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Scott Allen Spencer's CRS (Customer Relationship Summary).

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

March 13, 2025 - Present

REALIZED FINANCIAL, INC.

RIA

CRD#: 22333

Austin, TX

Current

March 11, 2025 - Present

REALIZED FINANCIAL, INC.

Office #1: 500 W. 13th Street, Austin, TX 78701Office #2: 500 W. 13th Street, Austin, TX 78701

RIA

CRD#: 22333

AUSTIN, TX

Past

April 19, 2024 - February 27, 2025

FROST INVESTMENT SERVICES

RIA

CRD#: 286129

SAN ANTONIO, TX

Past

April 19, 2024 - February 27, 2025

FROST BROKERAGE SERVICES, INC.

CRD#: 17465

SAN ANTONIO, TX

Past

March 23, 2016 - February 1, 2024

REALIZED FINANCIAL, INC.

RIA

CRD#: 22333

Austin, TX

Past

March 23, 2016 - February 1, 2024

REALIZED FINANCIAL, INC.

CRD#: 22333

Austin, TX

Past

January 14, 2002 - March 31, 2014

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

HOUSTON, TX

Past

January 14, 2002 - March 31, 2014

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

HOUSTON, TX

Past

May 14, 2001 - January 10, 2002

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

October 22, 1999 - September 27, 2000

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

December 4, 1998 - October 21, 1999

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

February 11, 1995 - December 9, 1998

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

May 6, 1994 - October 14, 1994

PACIFIC CORTEZ SECURITIES INCORPORATED

CRD#: 24341

SAN DIEGO, CA

Past

January 21, 1994 - June 23, 1994

THE CHAMPION GROUP, INC.

CRD#: 23418

SHAVANO PARK, TX

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Texas
(3/13/2025)

IAR

Texas
(3/13/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/17/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/24/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 10/16/2024

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/4/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/4/1994

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 1/20/1994

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/29/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

REALIZED FINANCIAL, INC.

REALIZED FINANCAL, INC. | THORNHILL SECURITIES, INC. | THORNHILL BROKERAGE, INC. | REALIZED FINANCIAL, INC.

CRD#: 22333 / SEC#: 801-70703, 8-39659

RIA

Registered Investment Advisory firm - SEC (3/25/2015 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/27/2014 Approved)

Texas

Registered Investment Advisory firm - SEC (6/6/2014 Approved)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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).

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Contact information

Main Address

500 W. 13th Street, Austin, TX 78701

Mailing Address

500 W. 13th Street, Austin, TX 78701

Phone number

(512) 472-7171

Established

Texas since 03/29/1988

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
REALIZED HOLDINGS INC	CORPORATION
DAHILL, DAVID P	CEO	6581024
DAHILL, DAVID P	FINOP	6581024
ELLIOTT, STEPHANIE NICOLE	CCO	2476636
ELLIOTT, STEPHANIE NICOLE	PRESIDENT	2476636
MEDINA, GABRIEL O	COO	5061047

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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Scott A. Spencer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Scott Allen Spencer's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Scott Allen Spencer's CRS (Customer Relationship Summary).

Certified licenses

Experience

REALIZED FINANCIAL, INC.

FROST INVESTMENT SERVICES

FROST BROKERAGE SERVICES, INC.

REALIZED FINANCIAL, INC.

REALIZED FINANCIAL, INC.

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

FIRST UNION BROKERAGE SERVICES, INC.

FIDELITY BROKERAGE SERVICES LLC

PACIFIC CORTEZ SECURITIES INCORPORATED

THE CHAMPION GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/17/1997

Series 63

Date: 1/24/1994

Series 52TO

Date: 10/16/2024

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/4/1994

Series 6

Date: 2/4/1994

Series 22

Date: 1/20/1994

Series 24

Date: 1/29/2002

FINRA

Current Firm

REALIZED FINANCIAL, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

REALIZED FINANCIAL, INC.

TRUST BUT VERIFY

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