Philip A. Spencer
Professional summary
Philip Albert Spencer, who also goes by Philip Spencer, Spencer, is a registered financial advisor currently at SARATOGA RESEARCH & INVESTMENT MANAGEMENT located in Saratoga, California.
Philip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Philip has worked at 2 firms and has passed the Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Philip Albert Spencer's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 12, 2009 - Present
SARATOGA RESEARCH & INVESTMENT MANAGEMENT
Office #1: 14471 Big Basin Way, Suite E, Saratoga, CA 95070June 24, 2009 - August 18, 2009
MUTUAL SECURITIES, INC.
Primary Firm SEC Registration
SARATOGA RESEARCH & INVESTMENT MANAGEMENT
CRD#: 110506 / SEC#: 801-57695
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/12/2009)
Exams
Current Firm
SARATOGA RESEARCH & INVESTMENT MANAGEMENT
CRD#: 110506 / SEC#: 801-57695
Contact information
SEC notice filing (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,016 |
| AUM (Assets Under Management) | $ 2,511,054,488 |
Red Flags
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