Spencer J. Brady
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 John Brady, who also goes by Spencer Brady, was a registered financial professional .
Spencer is a previously registered financial professional and started their career in finance in 2010. Spencer had worked at 6 firms and has passed the Series 65, 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 13, 2017 - January 7, 2022
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 24, 2017 - January 7, 2022
TD AMERITRADE, INC.
August 21, 2017 - January 7, 2022
TD AMERITRADE, INC.
June 16, 2017 - July 27, 2017
TITUS ROCKEFELLER, LLC
May 15, 2013 - October 14, 2015
MORGAN STANLEY
February 22, 2013 - October 14, 2015
MORGAN STANLEY
February 9, 2012 - January 16, 2013
INVESTORS CAPITAL CORP.
June 15, 2011 - October 3, 2011
MAXIM GROUP LLC
July 30, 2010 - September 2, 2010
MAXIM GROUP LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
