Spencer D. Staggs
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 Staggs was a registered financial professional .
Spencer is a previously registered financial professional and started their career in finance in 2009. Spencer had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2015 - June 29, 2016
KLR GROUP, LLC
September 2, 2014 - August 27, 2015
MAXIM GROUP LLC
July 16, 2012 - June 23, 2014
IMPERIAL CAPITAL, LLC
December 21, 2009 - June 26, 2012
PRITCHARD CAPITAL PARTNERS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KLR GROUP, LLC
CRD#: 165586 / SEC#: , 8-69168
Contact information
Documents
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.
