William V. 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.
William Vaughan Spencer, who also goes by William Vaughn Spencer, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1968. William had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 5, PC, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2004 - December 31, 2022
CHURCHILL FINANCIAL, LLC
July 1, 2003 - March 2, 2004
WELLS FARGO CLEARING SERVICES, LLC
February 1, 1988 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
January 4, 1982 - March 4, 1988
E. F. HUTTON & COMPANY INC
April 16, 1968 - January 18, 1982
STIFEL, NICOLAUS & COMPANY, INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 10/22/1981
Interest Rate Options ExaminationPC
Date: 3/30/1978
AMEX Put and Call ExamSeries 1
Date: 8/15/1960
Registered Representative ExaminationCurrent Firm
CHURCHILL FINANCIAL, LLC
CRD#: 39462 / SEC#: , 8-48724
Contact information
FINRA licenses (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 219 |
| AUM (Assets Under Management) | $ 281,569,253 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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