Jeffrey W. Spencer
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.
Jeffrey William Spencer was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1996. Jeffrey had worked at 5 firms and has passed the Series 65, Series 63, SIE 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 3, 2020 - June 9, 2020
WESTERN INTERNATIONAL SECURITIES, INC.
June 3, 2020 - September 19, 2022
WESTERN INTERNATIONAL SECURITIES, INC.
December 8, 2006 - May 3, 2023
SMART INVESTMENTS ADVISORY INCORPORATED
December 5, 2006 - August 12, 2008
WBB SECURITIES, LLC
December 5, 2006 - June 3, 2020
WBB SECURITIES, LLC
April 30, 2001 - December 6, 2006
SMART INVESTMENTS ADVISORY INCORPORATED
February 12, 2001 - November 29, 2001
INDEPENDENT FINANCIAL GROUP, LLC
January 2, 2001 - December 6, 2006
THE SEIDLER COMPANIES INCORPORATED
May 31, 1996 - January 2, 2001
INDEPENDENT FINANCIAL GROUP, LLC
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
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
