Frank H. 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.
Frank Halbert Spencer JR, who also goes by Hal Spencer, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1967. Frank had worked at 8 firms and has passed the Series 63, SIE, Series 31, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2014 - May 23, 2017
STERNE, AGEE & LEACH, INC.
February 13, 2013 - May 6, 2014
RAYMOND JAMES & ASSOCIATES, INC.
March 8, 2002 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
November 26, 1990 - March 20, 2002
WACHOVIA SECURITIES, INC.
October 9, 1985 - October 18, 1990
JEFFERIES EXECUTION SERVICES, INC.
October 2, 1985 - October 7, 1985
JEFFERIES LLC
December 3, 1974 - October 7, 1985
A C SECURITIES, INC.
April 7, 1967 - January 20, 1975
LOEB RHOADES & CO INC
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 1
Date: 5/18/1960
Registered Representative ExaminationSeries 40
Date: 2/7/1972
Registered Principal ExaminationCurrent Firm
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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.
