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SC

Spencer Clements-green

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CRD#: 5949267
SC

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 Clements-green, who also goes by Spencer Thomas Clements-green, was a registered financial professional .

Spencer is a previously registered financial professional and started their career in finance in 2011. Spencer had worked at 3 firms and has passed the Series 63, Series 57TO, Series 7TO, SIE, Series 7 and Series 56 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Spencer Thomas Clements-Green

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 16, 2022 - April 6, 2023

PEAK6 CAPITAL MANAGEMENT LLC

BD
CRD#: 43773
CHICAGO, IL
Past

September 4, 2020 - December 22, 2021

BOFA SECURITIES, INC.

BD
CRD#: 283942
NEW YORK, NY
Past

January 12, 2016 - April 28, 2017

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

August 26, 2011 - July 6, 2015

PEAK6 CAPITAL MANAGEMENT LLC

BD
CRD#: 43773
CHICAGO, IL

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

State Security Law Exam
RR
Series 63
Date: 9/10/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 9/21/2020
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/3/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/28/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/12/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 56
Date: 8/25/2011
Proprietary Trader Qualification Examination

Current Firm

PC
PEAK6 CAPITAL MANAGEMENT LLC
PEAK6 CAPITAL MANAGEMENT LLC

CRD#: 43773 / SEC#: , 8-50422

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

Main Address
141 W. Jackson Blvd., Suite 500, Chicago, IL 60604
Mailing Address
141 W. Jackson Blvd., Suite 500, Chicago, IL 60604
Phone number
(312) 444-8000
Established
Delaware since 08/05/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PEAK6 CAPITAL MANAGEMENT HOLDINGS LLCOWNER
MILCAREK, STEVEN DOUGLASPRINCIPAL OPERATIONS OFFICER3131320
MULLER, BRIAN JAMESCHIEF RISK OFFICER5875890
PITALE, SUJAI VEERDHAVALCHIEF COMPLIANCE OFFICER5387442
SIMPSON, THOMAS WILLIAMCHIEF EXECUTIVE OFFICER5875785
WARD, JAMES FLANAGANFINOP, PRINCIPAL FINANCIAL OFFICER6258923

Disclosures

Regulatory Event3

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

PEAK6 CAPITAL MANAGEMENT LLC

CRD#: 43773

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