Claudine A. Spence
Professional summary
Claudine Antoinette Spence is a registered financial advisor currently at O'SHAUGHNESSY ASSET MANAGEMENT, LLC located in Stamford, Connecticut.
Claudine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Claudine has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Claudine Antoinette Spence's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 1, 2008 - Present
O'SHAUGHNESSY ASSET MANAGEMENT, LLC
Office #1: 100 First Stamford Place, Stamford, CT 06902April 11, 2011 - May 1, 2017
QUASAR DISTRIBUTORS, LLC
May 7, 2007 - August 1, 2007
J.P. MORGAN SECURITIES LLC
October 20, 2004 - January 27, 2006
CITIGROUP GLOBAL MARKETS INC.
September 18, 2002 - April 25, 2003
ALLIANCEBERNSTEIN INVESTMENTS, INC.
August 27, 1998 - May 31, 2002
TRANSAMERICA INVESTORS SECURITIES, LLC
Primary Firm SEC Registration
O'SHAUGHNESSY ASSET MANAGEMENT, LLC
CRD#: 144594 / SEC#: 801-68177
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/1/2008)
Exams
Current Firm
O'SHAUGHNESSY ASSET MANAGEMENT, LLC
CRD#: 144594 / SEC#: 801-68177
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,791 |
| AUM (Assets Under Management) | $ 12,599,503,777 |
Red Flags
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