Richard L. 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.
Richard Lewis Spencer, who also goes by Richard Lewis Spencer III, Rick Spencer, Richard Lewis Spencer III, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1998. Richard had worked at 15 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2021 - December 4, 2024
FIRST COMMAND ADVISORY SERVICES
May 26, 2021 - December 4, 2024
FIRST COMMAND BROKERAGE SERVICES, INC.
August 7, 2020 - March 3, 2021
CHARLES SCHWAB & CO., INC.
August 7, 2020 - March 3, 2021
CHARLES SCHWAB & CO., INC.
March 9, 2020 - July 23, 2020
KESTRA ADVISORY SERVICES, LLC
March 9, 2020 - July 23, 2020
KESTRA INVESTMENT SERVICES, LLC
October 25, 2019 - January 2, 2020
AVANTAX ADVISORY SERVICES
October 25, 2019 - January 2, 2020
AVANTAX INVESTMENT SERVICES, INC.
September 11, 2015 - October 25, 2019
1ST GLOBAL ADVISORS INC
September 11, 2015 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
February 7, 2013 - July 2, 2015
TD AMERITRADE, INC.
February 7, 2013 - July 2, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 31, 2013 - July 2, 2015
TD AMERITRADE, INC.
July 5, 2011 - January 17, 2013
FIDELITY BROKERAGE SERVICES LLC
April 5, 2010 - May 27, 2011
MML INVESTORS SERVICES, LLC
December 13, 2000 - May 4, 2005
WELLS FARGO INVESTMENTS, LLC
May 11, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
September 11, 1998 - February 9, 2000
AVANTAX INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
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
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 110,166 |
| AUM (Assets Under Management) | $ 22,090,760,499 |
Red Flags
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