Matthew S. 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.
Matthew S Spencer, CFP®, who also goes by Matthew S. Spencer, Matthew Stuart Spencer, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2000. Matthew had worked at 10 firms and has passed the Series 65, Series 63, Series 55, Series 7 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: 2011
Experience
October 29, 2021 - November 24, 2021
WJ INTERESTS, LLC
August 30, 2019 - October 25, 2021
PER STIRLING CAPITAL MANAGEMENT, LLC
April 30, 2014 - August 13, 2019
RETIREMENT PLANNERS OF AMERICA
March 21, 2014 - December 31, 2014
PARADIGM WEALTH ADVISORS, LLC
May 27, 2011 - December 31, 2013
PARADIGM WEALTH ADVISORS, LLC
June 12, 2008 - June 7, 2011
CHASE INVESTMENT SERVICES CORP.
June 12, 2008 - June 7, 2011
CHASE INVESTMENT SERVICES CORP.
January 5, 2007 - June 2, 2008
CITIGROUP GLOBAL MARKETS INC.
December 7, 2006 - June 2, 2008
CITIGROUP GLOBAL MARKETS INC.
March 3, 2003 - December 9, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
September 16, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
January 29, 2002 - August 9, 2002
LIGHTSPEED PROFESSIONAL TRADING LLC
January 2, 2000 - August 28, 2001
HILLTOP SECURITIES INC.
Primary Firm SEC Registration
WJ INTERESTS, LLC
CRD#: 114381 / SEC#: 801-61853
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 55
Date: 4/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
WJ INTERESTS, LLC
CRD#: 114381 / SEC#: 801-61853
Contact information
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 819 |
| AUM (Assets Under Management) | $ 553,000,000 |
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.
