JS
John C. Spencer
HACKMAN FINANCIAL GROUP
Cincinnati, OH 45249
Some features on this profile are disabled
CRD#: 2621599
JS
Professional summary
John Charles Spencer IV, who also goes by John Charles IV Spencer, is a registered financial advisor currently at HACKMAN FINANCIAL GROUP located in Cincinnati, Ohio and LPL FINANCIAL LLC located in Cincinnati, Ohio.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. John has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Charles Iv Spencer
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. 02/19/2015-HACKMAN FINANCIAL GROUP/DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/100%/7355 E KEEPER RD, CINCINNATI, OH 45249 2. 02/19/2015-OHIO RUGBY REFEREES SOCIETY/OUTSIDE/W-2 EMPLOYMENT/RUGBY REFEREE/1%/7715 TRAILWIND DR, CINCINNATI, OH 45242. 3. 12/7/2016 - HFG ADVISORS, Inc. - DBA: Hackman Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 08/01/2016 - 140 Hours Per Month/120 Hours During Securities Trading - I provide investment advisory services through HFG Advisors, Inc., an independent investment advisor firm. I started this business activity in April 2016. I expect to spend approximately 140 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 12/12/2016 - No Business Name - Not Investment Related - Home Based - Outside/W-2 Employment - Started 03/01/2009 - 8 Hours Per Month/0 Hours During Securities Trading - Rugby referee.
CRS (Client Relationship Summary) - RIA
Click below to view John Charles Spencer IV's 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®
NoneExperience
Current
June 13, 2016 - Present
HACKMAN FINANCIAL GROUP
Office #1: 7355 E. Kemper Road, Cincinnati, OH 45249RIA
CRD#: 282027
Cincinnati, OH
Current
February 19, 2015 - Present
LPL FINANCIAL LLC
Office #1: 7355 E. Kemper Road, Cincinnati, OH 45249-0000RIA
BD
CRD#: 6413
Cincinnati, OH
Past
February 20, 2015 - December 23, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
February 24, 2009 - February 20, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
BLUE ASH, OH
Past
February 20, 2009 - February 20, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
BLUE ASH, OH
Past
January 2, 2009 - February 24, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
SAINT PETERSBURG, FL
Past
November 14, 2002 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
WEST CHESTER, OH
Past
August 5, 2002 - February 24, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
WEST CHESTER, OH
Past
October 30, 1998 - August 19, 2002
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
July 16, 1996 - December 8, 1998
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
August 18, 1995 - July 11, 1996
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
August 18, 1995 - July 11, 1996
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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".
HF
HACKMAN FINANCIAL GROUP
HACKMAN FINANCIAL GROUP | HFG ADVISORS, INC. | HFG ADVISORS | HACKMAN FINANCIAL GROUP, INC.
CRD#: 282027 / SEC#: 801-111082
RIA
Registered Investment Advisory firm - (9/1/2017 Approved)Kentucky
Registered Investment Advisory firm - (9/6/2017 Terminated)Ohio
Registered Investment Advisory firm - (9/6/2017 Terminated)Texas
Registered Investment Advisory firm - (9/5/2017 Terminated)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.RR
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
RR
California(1/21/2022)
RR
Massachusetts(6/19/2025)
RR
Ohio(2/19/2015)
IAR
Ohio(6/13/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HF
HACKMAN FINANCIAL GROUP
HACKMAN FINANCIAL GROUP | HFG ADVISORS, INC. | HFG ADVISORS | HACKMAN FINANCIAL GROUP, INC.
CRD#: 282027 / SEC#: 801-111082
RIA
Registered Investment Advisory firm - (9/1/2017 Approved)Kentucky
Registered Investment Advisory firm - (9/6/2017 Terminated)Ohio
Registered Investment Advisory firm - (9/6/2017 Terminated)Texas
Registered Investment Advisory firm - (9/5/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7355 E. Kemper Road, Cincinnati, OH 45249
Mailing Address
Phone number
(513) 891-5300
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 655 |
| AUM (Assets Under Management) | $ 305,336,158 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
HACKMAN FINANCIAL GROUP
CRD#: 282027Cincinnati, OH 45249TRUST BUT VERIFY
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