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SC

Spencer P. Cavalier

MCMG CAPITAL ADVISORS
Baltimore, MD 21202
Some features on this profile are disabled
CRD#: 4556912
SC

Professional summary

Spencer Paul Cavalier is a registered financial professional currently at MCMG CAPITAL ADVISORS, INC. located in Baltimore, Maryland.

Spencer is registered as a RR (Registered Representative) and started their career in finance in 2006. Spencer has worked at 1 firm and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

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) - BD

Click below to view Spencer Paul Cavalier's CRS (Customer Relationship Summary).

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

Current

November 2, 2006 - Present

MCMG CAPITAL ADVISORS, INC.

Office #1: 400 East Pratt Street Suite 310, Baltimore, MD 21202
BD
CRD#: 103871
Baltimore, MD

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Maryland
(2/3/2015)
RR
New York
(12/19/2022)
RR
Ohio
(6/14/2021)
RR
Virginia
(11/21/2006)

Exams

State Security Law Exam
RR
Series 63
Date: 11/20/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/12/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/6/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MCMG CAPITAL ADVISORS, INC.
MATRIX PRIVATE EQUITIES, INC. | MCMG CAPITAL ADVISORS, INC.

CRD#: 103871 / SEC#: , 8-52364

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
800 East Canal Street Suite 850, Richmond, VA 23219
Mailing Address
800 East Canal Street, Suite 850 Suite 850, Richmond, VA 23219
Phone number
(804) 591-2057
Established
Virginia since 12/16/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CAVALIER, SPENCER PAULPRESIDENT4556912
FORTEMPS, CEDRIC CHRISTIAN MR.TREASURER, CFO, CCO4493145
SAUNDERS, MILES VANCEOWNER5566711
DOOLEY, SEAN PATRICKOWNER5835354
OFLAHERTY, WILLIAM JAMESOWNER5159113
CORBETT, DAVID LEEOWNER4887552
DUNI, JOHN COOPEROWNER6261936
LOPRESTI, ANDREW ANTHONYOWNER6120756
LYNCH, STEPHEN CHRISTOPHEROWNER6020660
MUNSEY, JAMES BRIANOWNER7631388
OLDHOUSER, MATTHEW COWNER6505662
RIP, OLGAFINOP5440553
SHOULDERS, DAVID WILSONOWNER4688086
TIPPING, KYLE B.OWNER6856170

Disclosures

Regulatory Event1

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

MCMG CAPITAL ADVISORS, INC.

CRD#: 103871Baltimore, MD 21202

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