SB
Spencer J. Bacon
CETERA INVESTMENT ADVISERS LLC
HOLLAND, MI 49423
Some features on this profile are disabled
CRD#: 4652725
SB
Professional summary
Spencer James Bacon is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Holland, Michigan and CETERA FINANCIAL SPECIALISTS LLC located in Holland, Michigan.
Spencer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Spencer has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) FIXED LIFE INSURANCE AND FIXED ANNUITY SALES, INVESTMENT-RELATED, SAME ADDRESS AS REGISTERED LOCATION: 2) DELONG AND BROWER P.C., INVESTMENT-RELATED, SAME ADDRESS AS REGISTERED LOCATION, FINANCIAL SERVICES, START DATE 2/25/2014, 40 HRS/WEEK, REGISTERED REPRESENTATIVE AND OPERATIONS MANAGER 3) NAME OF OTHER BUSINESS: BUURSMA AGENCY INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: HEALTH INSURANCE AGENCY START DATE: 05/2022 APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: INDIVIDUAL & GROUP HEALTH INSURANCE, HR SUPPORT, & WELLNESS; 4) NAME OF OTHER BUSINESS: FARPOINTE FINANCIAL SERVICES LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 11/2022, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 5) NAME OF OTHER BUSINESS: FARPOINTE WEALTH ADVISORS ; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 03/2023; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 20; APX NUMBER OF HOURS DURING TRADING HOURS: 20; 6) NAME OF OTHER BUSINESS: FARPOINTE DBFS HOLDINGS LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: HOLDING COMPANY; START DATE: 7/2023; POSITION/TITLE/RELATIONSHIP: NONE; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES: NO DUTIES; 7) NAME OF OTHER BUSINESS: DELONG AND BROWER FINANCIAL SERVICES, LLC, INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 09/2022, POSITION/TITLE/RELATIONSHIP: PARTNER/FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Spencer James Bacon'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®
NoneExperience
Current
January 11, 2018 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 460 S Waverly Rd, Holland, MI 49423Office #2: 541 Silicon Dr Ste 101, Southlake, TX 76092RIA
CRD#: 105644
HOLLAND, MI
Current
December 17, 2013 - Present
CETERA FINANCIAL SPECIALISTS LLC
Office #1: 460 S Waverly Rd, Holland, MI 49423BD
CRD#: 10358
Holland, MI
Past
April 3, 2007 - December 31, 2011
HBW SECURITIES LLC
BD
CRD#: 136959
HOLLAND, MI
Past
May 12, 2003 - November 27, 2006
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alaska(3/3/2020)
RR
Arizona(1/2/2019)
RR
Arkansas(9/9/2021)
RR
California(1/2/2021)
RR
Colorado(3/27/2025)
RR
District of Columbia(5/10/2021)
RR
Florida(1/21/2020)
RR
Georgia(7/9/2018)
RR
Illinois(1/2/2019)
RR
Indiana(1/2/2019)
RR
Kentucky(9/9/2021)
RR
Maine(7/15/2025)
RR
Maryland(2/23/2023)
RR
Michigan(12/17/2013)
IAR
Michigan(1/11/2018)
RR
Nebraska(4/23/2020)
RR
New York(4/10/2025)
RR
North Carolina(1/2/2019)
RR
Ohio(12/17/2020)
RR
Pennsylvania(1/4/2022)
RR
South Carolina(5/6/2021)
RR
Tennessee(7/23/2019)
RR
Texas(3/15/2023)
IAR
Texas(3/15/2023)
RR
Vermont(6/30/2022)
RR
West Virginia(1/2/2020)
RR
Wisconsin(1/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
