Spencer Robert Pringle
Professional Summary
Spencer Robert Pringle was a registered financial advisor. Spencer was a previously registered financial professional and started their career in finance 1994 - 2024. Spencer had worked at 4 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 14, Series 10, Series 9, Series 53 and Series 24 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
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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
31 years in the financial services industry
Current & Past Employments
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Current Firm
RCH SECURITIES | ROLLOVER SECURITIES, LLC | ROLLOVER SECURITIES | RCH SECURITIES, LLC
Contact Information
Established
North Carolina since 07/01/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
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 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1994About the Series 6 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Nov 2005About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Oct 2005About the Series 9 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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