Russell D. 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.
Russell Douglas Spencer, CFP®, who also goes by R. Douglas Spencer, Russell D Spencer, Doug Spencer, was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 2001. Russell had worked at 6 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2009 - December 31, 2016
PERSONAL FINANCIAL GROUP
November 16, 2009 - July 12, 2013
LPL FINANCIAL LLC
November 4, 2005 - November 30, 2009
OSAIC SERVICES, INC.
October 31, 2005 - November 30, 2009
OSAIC SERVICES, INC.
October 12, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
July 22, 2004 - November 1, 2005
FIRST HORIZON ADVISORS, INC.
February 21, 2001 - July 15, 2004
UMB FINANCIAL SERVICES, 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
Current Firm
PERSONAL FINANCIAL GROUP
CRD#: 116806 / SEC#: 801-70718
Contact information
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.
