SS
Steven Spencer
GOLDMAN SACHS & CO. LLC
Newport Beach, CA 92660
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CRD#: 4866529
SS
Professional summary
Steven Spencer is a registered financial professional currently at GOLDMAN SACHS & CO. LLC located in Newport Beach, California and MERCER ALLIED COMPANY, L.P. located in Newport Beach, California.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2023. Steven has worked at 2 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 14, Series 24, Series 10 and Series 9 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Steven Spencer'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
June 20, 2007 - Present
GOLDMAN SACHS & CO. LLC
Office #1: 4000 Macarthur Blvd 10th Floor, Newport Beach, CA 92660RIA
BD
CRD#: 361
Newport Beach, CA
Current
October 17, 2025 - Present
MERCER ALLIED COMPANY, L.P.
Office #1: 4000 Macarthur Blvd 10th Floor, Newport Beach, CA 92660BD
CRD#: 37404
Newport Beach, CA
Past
March 31, 2023 - July 23, 2024
MERCER ALLIED COMPANY, L.P.
BD
CRD#: 37404
NEWPORT BEACH, CA
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
California(9/23/2021)
RR
New York(1/24/2008)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/9/2008
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
MA
MERCER ALLIED COMPANY, L.P.
MERCER ALLIED COMPANY, L.P.
CRD#: 37404 / SEC#: , 8-47739
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
100 Coliseum Drive, Cohoes, NY 12047
Mailing Address
100 Coliseum Drive, Cohoes, NY 12047
Phone number
(518) 886-4000
Established
Delaware since 10/11/1994
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GOLDMAN SACHS WEALTH SERVICES, L.P. | SOLE LIMITED PARTNER | 106693 |
| GS AYCO HOLDING LLC | GENERAL PARTNER | |
| HALL, LARIK MARSHALL | PRESIDENT | 2634322 |
| KINOWSKI, KYLE T | VICE PRESIDENT | 4277862 |
| LUKS, SHELLEY M | VP & CHIEF FINANCIAL OFFICER | 6004389 |
| NASS, JEREMY PAUL | VP & CHIEF OPERATIONS OFFICER | 4244509 |
| RYAN, DIANA ELIZABETH | VP & CHIEF COMPLIANCE OFFICER | 2780148 |
| VOLSKY, MELISSA C | VICE PRESIDENT | 4648752 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
