Terry W. Spencer

USI ADVISORS

Brookfield, WI 53045

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CRD#: 3242558

Professional summary

Terry Wayne Spencer, who also goes by Terry W Spencer, is a registered financial advisor currently at USI ADVISORS located in Brookfield, Wisconsin and USI SECURITIES, INC. located in Brookfield, Wisconsin.

Terry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Terry has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Terry W 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) - RIA

Click below to view Terry Wayne Spencer's 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

September 16, 2025 - Present

USI ADVISORS

Office #1: 100 N. Corporate Drive Suite 100, Brookfield, WI 53045

RIA

CRD#: 108113

Brookfield, WI

Current

September 16, 2025 - Present

USI SECURITIES, INC.

Office #1: 100 N. Corporate Drive Suite 100, Brookfield, WI 53045

RIA

CRD#: 43793

Brookfield, WI

Current

September 16, 2025 - Present

USI SECURITIES, INC.

Office #1: 100 N. Corporate Drive Suite 100, Brookfield, WI 53045

RIA

CRD#: 43793

Brookfield, WI

Past

June 1, 2020 - November 7, 2023

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

Waukesha, WI

Past

May 28, 2020 - June 26, 2025

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Waukesha, WI

Past

December 11, 2019 - January 9, 2020

AXOS INVEST LLC

CRD#: 172393

LAS VEGAS, NV

Past

October 18, 2019 - January 22, 2020

AXOS CLEARING LLC

CRD#: 117176

OMAHA, NE

Past

May 13, 2014 - October 24, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

OMAHA, NE

Past

May 13, 2014 - October 24, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

OMAHA, NE

Past

March 1, 2011 - April 7, 2014

RUSSELL INVESTMENTS

RIA

CRD#: 105734

MILWAUKEE, WI

Past

March 1, 2011 - April 7, 2014

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

CRD#: 21771

MILWAUKEE, WI

Past

March 6, 2009 - August 25, 2009

TD AMERITRADE, INC.

RIA

CRD#: 7870

OMAHA, NE

Past

March 6, 2009 - August 25, 2009

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

OMAHA, NE

Past

March 4, 2009 - August 25, 2009

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

April 26, 2007 - February 3, 2009

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

OMAHA, NE

Past

March 30, 2006 - March 22, 2007

TD AMERITRADE, INC.

CRD#: 7870

FORT WORTH, TX

Past

February 3, 2005 - March 22, 2007

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

BELLEVUE, NE

Past

April 15, 2004 - May 26, 2004

AMERITRADE NORTHWEST, INC.

CRD#: 10215

PORTLAND, OR

Past

January 5, 2004 - March 30, 2006

TD AMERITRADE CLEARING, INC.

CRD#: 5633

BELLEVUE, NE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

USI ADVISORS

USI ADVISORS | USICG ADVISORS INC. | USICG ADVISORS INC | USI ADVISORS, INC.

CRD#: 108113 / SEC#: 801-56622

RIA

Registered Investment Advisory firm - (6/18/1999 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Wisconsin
(9/16/2025)

IAR

Wisconsin
(9/16/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/6/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/30/2003

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: 12/23/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/9/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

USI ADVISORS

USI ADVISORS | USICG ADVISORS INC. | USICG ADVISORS INC | USI ADVISORS, INC.

CRD#: 108113 / SEC#: 801-56622

RIA

Registered Investment Advisory firm - (6/18/1999 Approved)

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Contact information

Main Address

95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033

Mailing Address

Phone number

(860) 633-5283

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (49 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

USIA ADV 2A - JULY 2025 (7/3/2025)

Regulatory assets under management

Total Number of Accounts	1,346
AUM (Assets Under Management)	$ 48,864,913,348

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

Terry W. Spencer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Terry Wayne Spencer's CRS (Customer Relationship Summary).

Certified licenses

Experience

USI SECURITIES, INC.

USI SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

AXOS INVEST LLC

AXOS CLEARING LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

RUSSELL INVESTMENTS

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

PACIFIC SELECT DISTRIBUTORS, LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

AMERITRADE NORTHWEST, INC.

TD AMERITRADE CLEARING, INC.

Primary Firm SEC Registration

USI ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 1/6/2005

Series 63

Date: 12/30/2003

SIE

Date: 10/1/2018

Series 7

Date: 12/23/2003

Series 24

Date: 8/9/2006

FINRA

Current Firm

USI ADVISORS

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

USI ADVISORS

TRUST BUT VERIFY

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