SS
Sean R. Spencer
ACCESS CAPITAL
Wichita, KS 67211
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CRD#: 5622254
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Professional summary
Sean Randall Spencer is a registered financial advisor currently at ACCESS CAPITAL, LLC located in Wichita, Kansas and PURSHE KAPLAN STERLING INVESTMENTS located in Wichita, Kansas.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Sean has worked at 6 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. Access Capital LLC, yes, At Registered Location, RIA, Owner, IAR, November 2023, 160 hours, 130 hours, financial advising for clients 2. Fixed Insurance, yes, At Registered Location, Insurance Sales, Agent, Fixed/traditional insurance, 8/2023, 5 hours, 0 hours, sales of fixed/traditional insurance products 3. PKSF yes, At Registered Location, Insurance Sales, Agent, Fixed/traditional insurance, 8/2023, 5 hours, 0 hours, sales of fixed/traditional insurance products 4. JM of Wichita, LLC, non-investment related, 7506 E Norfolk Cir, Wichita, KS 67206, Franchisee for Jersey Mike sub shops, Partner/Owner, February 26, 2016, 2 hours per month during non-trading hours, as an owner, duties include executing all statements and forms on behalf of the business, retain accountants and work with IRS when deemed appropriate. 5. The Croft, LLC, non-investment related, 10333 E 21st St N Ste 303, Wichita, KS 67206, LLC created for the purpose of developing/purchasing real estate, Partner/Owner, December 15, 2021, 2 hours per month during non-trading hours, as an owner, duties include participating in the research and development of real estate as well as in the purchase of real estate. 6. C&S Holdings, LLC, non-investment related, 7506 E Norfolk Cir, Wichita, KS 67206, LLC created as a Holding company for purpose of investing, May 17, 2021, no time is spent during the month on this activity, owner of LLC, duties will include researching and executing the purchase of other investment opportunities. 7. Dean's Advisory Board for the W. Frank Barton School of Business, Not investment related. 1845 Fairmount St, Wichita, KS 67260, school of business for Wichita State University, Board Member, 2016, less than 1 hour per month during non-trading hours, non-voting board member who assists in strategic initiatives to better market the school as well as collaborates by providing education and practical applications to work place experience.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Randall 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 30, 2023 - Present
ACCESS CAPITAL, LLC
Office #1: 1601 E Douglas Avenue, Wichita, KS 67211RIA
CRD#: 327013
Wichita, KS
Current
November 10, 2023 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 1601 E Douglas Ave, Wichita, KS 67211Office #2: 80 State Street, Albany, NY 12207BD
CRD#: 35747
Wichita, KS
Past
July 13, 2015 - July 20, 2023
IMA WEALTH
RIA
CRD#: 112091
WICHITA, KS
Past
July 13, 2015 - July 20, 2023
IMA WEALTH
BD
CRD#: 112091
WICHITA, KS
Past
November 21, 2013 - July 13, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
WICHITA, KS
Past
November 21, 2013 - July 13, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
WICHITA, KS
Past
June 14, 2010 - December 16, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
MINNEAPOLIS, MN
Past
June 14, 2010 - December 16, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
August 28, 2009 - February 16, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
WICHITA, KS
Past
March 30, 2009 - February 16, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
WICHITA, KS
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
Colorado(11/10/2023)
IAR
Kansas(6/30/2023)
RR
Kansas(11/10/2023)
RR
Oklahoma(11/10/2023)
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
AC
ACCESS CAPITAL, LLC
ACCESS CAPITAL, LLC
CRD#: 327013 / SEC#: 801-128223
RIA
Registered Investment Advisory firm - (3/19/2025 Terminated)Kansas
Registered Investment Advisory firm - (7/18/2024 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1601 E Douglas Avenue, Wichita, KS 67211
Mailing Address
Phone number
(316) 633-8013
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 97 |
| AUM (Assets Under Management) | $ 75,601,407 |
Red Flags
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Company Information
ACCESS CAPITAL, LLC
CRD#: 327013Wichita, KS 67211TRUST BUT VERIFY
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