William A. Spencer

ATHENE SECURITIES

West Des Moines, IA 50266

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CRD#: 3153663

Professional summary

William Alexander Spencer, who also goes by Alex Halliburton, William Alexander Halliburton, Alex Spencer, is a registered financial professional currently at ATHENE SECURITIES, LLC located in West Des Moines, Iowa.

William is registered as a RR (Registered Representative) and started their career in finance in 1999. William has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alex Halliburton | William Alexander Halliburton | Alex Spencer

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) - BD

Click below to view William Alexander Spencer's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

February 12, 2019 - Present

ATHENE SECURITIES, LLC

Office #1: 7700 Mills Civic Parkway, West Des Moines, IA 50266

CRD#: 36867

West Des Moines, IA

Past

September 29, 2016 - October 12, 2018

SWBC INVESTMENT COMPANY

RIA

CRD#: 140994

SAN ANTONIO, TX

Past

September 29, 2016 - October 12, 2018

SWBC INVESTMENT SERVICES, LLC

CRD#: 133715

SAN ANTONIO, TX

Past

September 11, 2013 - October 6, 2016

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

WAVERLY, IA

Past

January 19, 2012 - October 6, 2016

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

June 9, 2009 - January 18, 2012

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

July 30, 2001 - May 8, 2008

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

SAN ANTONIO, TX

Past

January 5, 2001 - July 30, 2001

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

October 26, 1999 - December 1, 2000

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Iowa
(2/12/2019)

Exams

State Security Law Exam

IAR

Series 65

Date: 9/9/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/28/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/25/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/13/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ATHENE SECURITIES, LLC

CRD#: 36867 / SEC#: , 8-47499

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

7700 Mills Civic Parkway, West Des Moines, IA 50266

Mailing Address

7700 Mills Civic Parkway, West Des Moines, IA 50266

Phone number

(515) 342-4616

Established

Indiana since 04/21/2006

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ATHENE USA CORPORATION	ATHENE SECURITIES, LLC
BATTERSON, CHAD M	PRESIDENT, COO, FINOP	4880009
BURTON, SHEILA SUE	CHIEF COMPLIANCE OFFICER
GEYELIN, ANTONY LAUSSAT III	VICE PRESIDENT	4605388
HUNT, ANGELA JEAN	COMPLIANCE OFFICER	7192588

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

William A. Spencer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Alexander Spencer's CRS (Customer Relationship Summary).

Certified licenses

Experience

SWBC INVESTMENT COMPANY

SWBC INVESTMENT SERVICES, LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

GUARANTY BROKERAGE SERVICES, INC.

CAPITAL BROKERAGE CORPORATION

EDWARD JONES

State Registrations and Notice Filings

Exams

Series 65

Date: 9/9/2013

Series 63

Date: 10/28/1999

SIE

Date: 10/1/2018

Series 7

Date: 10/25/1999

Series 24

Date: 9/13/2004

FINRA

Current Firm

ATHENE SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ATHENE SECURITIES, LLC

TRUST BUT VERIFY

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