Spencer D. Lehman

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CRD#: 305917

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 David Lehman was a registered financial professional .

Spencer is a previously registered financial professional and started their career in finance in 1970. Spencer had worked at 13 firms and has passed the Series 1 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 16, 2008 - December 31, 2013

FINANCIAL WEST GROUP

CRD#: 16668

LOS ANGELES, CA

Past

October 15, 2002 - January 16, 2008

THE SHEMANO GROUP, INC.

CRD#: 35528

LOS ANGELES, CA

Past

February 11, 2002 - October 21, 2002

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

May 18, 2000 - February 11, 2002

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

Past

March 29, 1985 - May 18, 2000

DRAKE & COMPANY, INC.

CRD#: 16227

NEW YORK, NY

Past

November 15, 1984 - April 1, 1985

BROADCHILD SECURITIES CORP.

CRD#: 7702

Past

August 6, 1984 - November 21, 1984

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

February 22, 1982 - August 7, 1984

MORGAN STANLEY DW INC.

CRD#: 7556

Past

October 27, 1981 - February 7, 1982

SECURITIES WEST, INC.

CRD#: 4898

Past

June 23, 1978 - August 29, 1984

INVESTORS FINANCIAL SERVICES, INCORPORATED

CRD#: 7539

Past

August 23, 1973 - June 17, 1981

INVESTORS FINANCIAL SERVICES, INC.

CRD#: 438

Past

November 10, 1971 - May 22, 1973

PACIFIC WESTERN SECURITIES INC

CRD#: 1000006

Past

October 9, 1970 - July 11, 1971

FINANCIAL EQUITIES, LTD.

CRD#: 966

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam

Series 1

Date: 7/19/1962

Registered Representative Examination

Current Firm

FINANCIAL WEST GROUP

FINANCIAL WEST GROUP | TORREYA CAPITAL, A DIVISION OF FINANCIAL WEST GROUP | REEDLAND CAPITAL PARTNERS, AN INSTITUTIONAL DIVISION OF FWG | PACIFIC ASSET GROUP, INC. | GELLER BIOPHARM - A HEALTH CARE INVESTMENT BANKING DIVISION FWG | FINANCIAL WEST INVESTMENT GROUP, INC. DBA FINANCIAL WEST GROUP | FINANCIAL WEST INVESTMENT GROUP, INC.

CRD#: 16668 / SEC#: 801-57393, 8-34448

Cancelled by SEC on 09/28/2023

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Contact information

Main Address

1330 Lander St., Reno, NV 89509

Mailing Address

Phone number

Established

California since 05/22/1985

Firm type

Corporation

Fiscal year end

September

# of Employees

FINRA licenses (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
PARADOX HOLDING, INC. A NEVADA CORPORATION	SHAREHOLDER
DOYLE, JACOB MICHAEL	VICE PRESIDENT	6014279
HODGES, AL CLIFTON	BOARD MEMBER	6594701
VALENTINE, GENE CHARLES	CHIEF COMPLIANCE OFFICER	1079871
VALENTINE, GENE CHARLES	CHAIRMAN/CEO/PRESIDENT	1079871

Disclosures

Regulatory Event	73
Arbitration	7

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.

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Advisor Monitoring

Firm Stability Insights

Spencer D. Lehman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE SHEMANO GROUP, INC.

FIRST ALLIED SECURITIES, INC.

INTERFIRST CAPITAL CORPORATION

DRAKE & COMPANY, INC.

BROADCHILD SECURITIES CORP.

CITIGROUP GLOBAL MARKETS INC.

MORGAN STANLEY DW INC.

SECURITIES WEST, INC.

INVESTORS FINANCIAL SERVICES, INCORPORATED

INVESTORS FINANCIAL SERVICES, INC.

PACIFIC WESTERN SECURITIES INC

FINANCIAL EQUITIES, LTD.

State Registrations and Notice Filings

Exams

Series 1

Date: 7/19/1962

Current Firm

FINANCIAL WEST GROUP

Contact information

FINRA licenses (1 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FINANCIAL WEST GROUP

TRUST BUT VERIFY

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