James L. 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.
James Lafayette Spencer was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1968. James had worked at 7 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2013 - April 3, 2025
ASSET MANAGEMENT FINANCIAL SERVICES INC.
December 22, 2011 - April 25, 2013
PLATINUM PLANNING, INC.
February 2, 1994 - March 27, 2012
SPENCER INTERNATIONAL ADVISORS INC
January 7, 1994 - January 1, 1996
SPENCER INTERNATIONAL INVESTMENTS, INC.
May 10, 1989 - March 1, 1994
AMUNDI DISTRIBUTOR US, INC.
October 24, 1985 - May 10, 1989
THE PIONEER GROUP, INC.
January 25, 1972 - November 16, 1984
THE PIONEER GROUP, INC.
April 2, 1968 - May 13, 1986
PW SECURITIES, 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: 3/19/1963
Registered Representative ExaminationSeries 00
Date: 2/23/1968
General Securities Principal ExaminationCurrent Firm
ASSET MANAGEMENT FINANCIAL SERVICES INC.
CRD#: 142396 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 288 |
| AUM (Assets Under Management) | $ 75,733,580 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
