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ES

Earle F. Spencer

Some features on this profile are disabled
CRD#: 431812
ES

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.

Earle Franklin Spencer JR was a registered financial professional .

Earle is a previously registered financial professional and started their career in finance in 1958. Earle had worked at 2 firms and has passed the Series 1 exam.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 27, 1986 - January 19, 1999

DETWILER FENTON & CO.

BD
CRD#: 1794
BOSTON, MA
Past

December 18, 1958 - October 14, 1986

SPENCER, SWAIN & CO., INC.

BD
CRD#: 3474

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 1
Date: 12/18/1958
Registered Representative Examination

Current Firm

DF
DETWILER FENTON & CO.
DETWILER FENTON & CO. | LCS BONDS & FINANCIAL MANAGEMENT (DIVISION OF DMFG) | FECHTOR, DETWILER & CO., INC. | DMC ADVISORY SERVICES (A DIVISION OF FECHTOR, DETWILER & CO.) | DMC ADVISORY SERVICES (A DIVISION OF DMFG) | DETWILER, MITCHELL, FENTON & GRAVES, INC. | DETWILER, MITCHELL FENTON & GRAVES, INC.

CRD#: 1794 / SEC#: , 8-16324

BD
Terminated by SEC on 02/22/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Massachusetts since 01/04/1971
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DETWILER FENTON GROUP, INC.HOLDING COMPANY
FENTON, PETER DELIMACEO, PRESIDENT, CCO2334505
KAPPOTIS, ERNEST DFINOP

Disclosures

Regulatory Event6
Arbitration7
Bond2

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.

Company Information

DETWILER FENTON & CO.

CRD#: 1794

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