James M. Spencer
Professional summary
James Murray Spencer, who also goes by James Murray Spencer Jr, Jim Spencer, is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1998. James has worked at 5 firms and has passed the Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Murray Spencer's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 8, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017August 28, 2023 - April 11, 2024
COWEN AND COMPANY
October 15, 2014 - September 12, 2023
CREDIT SUISSE SECURITIES (USA) LLC
August 15, 2011 - July 14, 2014
LAZARD FRERES & CO. LLC
May 16, 2002 - August 11, 2011
UBS SECURITIES LLC
October 1, 1998 - April 17, 2002
CREDIT SUISSE SECURITIES (USA) 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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