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SW

Spencer D. Worley

SUSQUEHANNA SECURITIES
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 5879867
SW

Professional summary

Spencer Douglas Worley is a registered financial professional currently at SUSQUEHANNA SECURITIES, LLC located in Chicago, Illinois and SUSQUEHANNA INVESTMENT GROUP located in Chicago, Illinois.

Spencer is registered as a RR (Registered Representative) and started their career in finance in 2012. Spencer has worked at 2 firms and has passed the Series 57TO, SIE, Series 56 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Spencer Douglas Worley'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®
None

Experience

Current

April 5, 2011 - Present

SUSQUEHANNA SECURITIES, LLC

Office #1: 175 W Jackson Blvd. Suite 1700, Chicago, IL 60604
BD
CRD#: 35874
Chicago, IL
Current

March 5, 2025 - Present

SUSQUEHANNA INVESTMENT GROUP

Office #1: 175 W. Jackson Blvd. Suite 1700, Chicago, IL 60604
BD
CRD#: 33875
Chicago, IL
Past

July 27, 2012 - January 20, 2015

SUSQUEHANNA INVESTMENT GROUP

BD
CRD#: 33875
BALA CYNWYD, PA

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

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 56
Date: 11/25/2013
Proprietary Trader Qualification Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/13/2019
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SI
SUSQUEHANNA INVESTMENT GROUP
SUSQUEHANNA INVESTMENT GROUP

CRD#: 33875 / SEC#: , 8-37520

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
401 City Ave. Ste 220, Bala Cynwyd, PA 19004-1122
Mailing Address
401 City Ave. Ste 220, Bala Cynwyd, PA 19004-1122
Phone number
(610) 617-2600
Established
Pennsylvania since 05/01/1987
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SUSQUEHANNA INTERNATIONAL GROUP LLPGENERAL PARTNER
BODEL, INCGENERAL PARTNER
DAMATO, DANIELFINANCIAL AND OPERATIONS PRINCIPAL7430998
DOHERTY, MICHAEL PATRICKCHIEF COMPLIANCE OFFICER, SROP, CROP703900
SIMPSON, MICHAEL ROBERTPOO7521292
WORLEY, SPENCER DOUGLASHEAD TRADER5879867

Disclosures

Regulatory Event42

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

SUSQUEHANNA INVESTMENT GROUP

CRD#: 33875Chicago, IL 60604

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