Spencer Wang
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.
Spencer Wang was a registered financial professional .
Spencer is a previously registered financial professional and started their career in finance in 1995. Spencer had worked at 9 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2013 - June 18, 2015
BERENSON & COMPANY, LLC
August 4, 2008 - December 20, 2012
CREDIT SUISSE SECURITIES (USA) LLC
June 13, 2006 - August 7, 2008
J.P. MORGAN SECURITIES LLC
May 29, 2002 - May 8, 2006
J.P. MORGAN SECURITIES INC.
April 30, 2001 - April 23, 2002
ABN AMRO INCORPORATED
May 1, 2000 - April 30, 2001
ABN AMRO SECURITIES LLC
November 29, 1997 - September 1, 1998
SALOMON BROTHERS INC.
June 5, 1997 - May 8, 2000
CITIGROUP GLOBAL MARKETS INC.
September 11, 1995 - March 13, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BERENSON & COMPANY, LLC
CRD#: 28016 / SEC#: , 8-43368
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
