Grant E. Spencer
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.
Grant Eugene Spencer, CFP® was a registered financial professional .
Grant is a previously registered financial professional and started their career in finance in 2000. Grant had worked at 5 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2006
Experience
November 4, 2013 - December 31, 2015
SPENCER CAPITAL MANAGEMENT, LLC
September 2, 2008 - November 14, 2013
LPL FINANCIAL LLC
August 29, 2008 - November 14, 2013
LPL FINANCIAL LLC
March 9, 2004 - September 4, 2008
AMERIPRISE ADVISOR SERVICES, INC.
March 11, 2002 - September 4, 2008
AMERIPRISE ADVISOR SERVICES, INC.
June 9, 2000 - April 1, 2002
AVANTAX INVESTMENT SERVICES, INC.
January 4, 2000 - May 30, 2000
KEYBANC CAPITAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SPENCER CAPITAL MANAGEMENT, LLC
CRD#: 164578 / SEC#:
Contact information
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.
