SV
Spencer B. Vowell
LPL ENTERPRISE
HOUSTON, TX 77040
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CRD#: 5855676
SV
Professional summary
Spencer Bradley Vowell, CFP®, who also goes by Spencer Vowell, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Houston, Texas.
Spencer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Spencer has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Spencer Vowell
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.
1.08/21/2024; FRIENDSWOOD CHURCH OF CHRIST; NON profit board member; not inv related; 1 hr/mo non trading; 1 hr/mo trading; 09/09/2024 2. 08/21/2024; GUIDANCE FINANCIAL LP; Financial advisor; YES inv related; 160 hr/mo non trading; 160 hr/mo trading; 09/05/2023 GUIDANCE FINANCIAL, L.P. POSITION: Financial Advisor NATURE: Financial Advisor INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/25/2023 ADDRESS: 10613 W. Sam Houston Pkwy N, Ste 125 TX 77064, United States DESCRIPTION: Financial Advisor
CRS (Client Relationship Summary) - RIA
Click below to view Spencer Bradley Vowell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Spencer Bradley Vowell'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®
CFP®
Start date: 2015
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 13831 Northwest Fwy Suite 350, Houston, TX 77040Office #2: 14200 Gulf Freeway Suite 104, Houston, TX 77034RIA
BD
CRD#: 8733
HOUSTON, TX
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 13831 Northwest Fwy Suite 350, Houston, TX 77040Office #2: 14200 Gulf Freeway Suite 104, Houston, TX 77034RIA
BD
CRD#: 8733
HOUSTON, TX
Past
April 3, 2020 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Houston, TX
Past
April 2, 2020 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Houston, TX
Past
April 30, 2014 - February 26, 2020
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
HOUSTON, TX
Past
July 3, 2012 - February 26, 2020
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
HOUSTON, TX
Past
November 10, 2010 - July 5, 2012
NEW ENGLAND SECURITIES
BD
CRD#: 615
HOUSTON, TX
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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
Arizona(7/17/2025)
RR
Arkansas(4/2/2025)
RR
California(5/14/2025)
RR
Colorado(11/14/2024)
RR
Florida(11/15/2024)
RR
Georgia(11/14/2024)
RR
Hawaii(10/8/2025)
RR
Louisiana(11/14/2024)
RR
Massachusetts(5/14/2025)
RR
Mississippi(11/14/2024)
RR
New Jersey(11/14/2024)
IAR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
RR
Ohio(5/8/2025)
RR
Oklahoma(11/14/2024)
RR
Tennessee(4/2/2025)
RR
Texas(11/14/2024)
IAR
Texas(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/1/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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
LPL ENTERPRISE, LLC
CRD#: 8733Houston, TX 77040TRUST BUT VERIFY
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