Christopher R. Spencer
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.
Christopher Roy Spencer, who also goes by Chris R Spencer, Christopher Roy Spencer, Christopher Spencer, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2012. Christopher had worked at 7 firms and has passed the Series 66, 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
May 30, 2019 - June 10, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
May 8, 2019 - June 10, 2024
FIDELITY BROKERAGE SERVICES LLC
June 12, 2018 - April 11, 2019
SANTANDER SECURITIES LLC
June 12, 2018 - April 11, 2019
SANTANDER SECURITIES LLC
October 18, 2017 - May 31, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 16, 2017 - May 31, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 17, 2015 - October 23, 2015
TD AMERITRADE, INC.
February 17, 2015 - October 23, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 30, 2015 - October 23, 2015
TD AMERITRADE, INC.
June 6, 2013 - February 4, 2015
STRATEGIC ADVISERS LLC
July 10, 2012 - February 3, 2015
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
