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SF

Spencer D. Frankenberger

Some features on this profile are disabled
CRD#: 5628226
SF

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.

Spencer Douglas Frankenberger, who also goes by Spencer D Frankenberger, was a registered financial professional .

Spencer is a previously registered financial professional and started their career in finance in 2009. Spencer had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Spencer D Frankenberger

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 16, 2017 - December 21, 2018

CREATIVEONE WEALTH, LLC

RIA
CRD#: 281213
West Lake Hills, TX
Past

May 8, 2015 - April 7, 2017

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA
CRD#: 132070
Austin, TX
Past

May 7, 2015 - April 7, 2017

G.F. INVESTMENT SERVICES, LLC

BD
CRD#: 132939
Austin, TX
Past

January 3, 2014 - May 18, 2015

PLANMEMBER SECURITIES CORPORATION

RIA
CRD#: 11869
WALNUT CREEK, CA
Past

January 2, 2014 - May 18, 2015

PLANMEMBER SECURITIES CORPORATION

BD
CRD#: 11869
WALNUT CREEK, CA
Past

March 5, 2012 - December 26, 2013

LPL FINANCIAL LLC

RIA
CRD#: 6413
WALNUT CREEK, CA
Past

March 2, 2012 - December 26, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
WALNUT CREEK, CA
Past

August 13, 2009 - March 8, 2012

NEW ENGLAND SECURITIES

RIA
CRD#: 615
SAN RAMON, CA
Past

August 3, 2009 - March 8, 2012

NEW ENGLAND SECURITIES

BD
CRD#: 615
SAN RAMON, CA
Past

January 20, 2009 - May 12, 2009

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
IRVINE, CA

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".
CW
CREATIVEONE WEALTH, LLC
C1W | LA LOMA FINANCIAL SERVICES | CREATIVEONE WEALTH, LLC | COVENTRY WEALTH ADVISORS | CHANGEPATH, LLC | CHANGEPATH | CHANGE PATH LLC

CRD#: 281213 / SEC#: 801-106677

RIA
Registered Investment Advisory firm - (9/25/2015 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/30/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/7/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/2009
General Securities Representative Examination

Current Firm

CW
CREATIVEONE WEALTH, LLC
C1W | LA LOMA FINANCIAL SERVICES | CREATIVEONE WEALTH, LLC | COVENTRY WEALTH ADVISORS | CHANGEPATH, LLC | CHANGEPATH | CHANGE PATH LLC

CRD#: 281213 / SEC#: 801-106677

RIA
Registered Investment Advisory firm - (9/25/2015 Approved)
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Contact information

Main Address
6330 Sprint Pkwy Suite 400, Overland Park, KS 66211
Mailing Address
Phone number
(913) 402-7897
Established
Firm type
Fiscal year end
# of Employees
217

SEC notice filing (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CREATIVEONE WEALTH ADV PART 2A 03.31.2025 (4/15/2025)

Regulatory assets under management

Total Number of Accounts29,437
AUM (Assets Under Management)$ 4,828,907,475

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

CREATIVEONE WEALTH, LLC

CRD#: 281213

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