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IS

Iksvaku Spencer

US CAPITAL GLOBAL SECURITIES
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 6308255
IS

Professional summary

Iksvaku Spencer is a registered financial professional currently at US CAPITAL GLOBAL SECURITIES, LLC located in San Francisco, California.

Iksvaku is registered as a RR (Registered Representative) and started their career in finance in 2016. Iksvaku has worked at 1 firm and has passed the SIE and Series 79 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 Iksvaku Spencer's CRS (Customer Relationship Summary).
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

June 21, 2016 - Present

US CAPITAL GLOBAL SECURITIES, LLC

Office #1: 1 Ferry Building Suite 201, San Francisco, CA 94111
BD
CRD#: 169544
San Francisco, CA

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
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 3/23/2015
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

UC
US CAPITAL GLOBAL SECURITIES, LLC
US CAPITAL GLOBAL SECURITIES, INC. | US CAPITAL GLOBAL SECURITIES, LLC

CRD#: 169544 / SEC#: , 8-69375

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

Main Address
1 Ferry Building Suite 201, San Francisco, CA 94111
Mailing Address
1 Ferry Building Suite 201, San Francisco, CA 94111
Phone number
(415) 889-1010
Established
California since 11/04/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
US CAPITAL HOLDING CORPORATIONOWNER
SMITH, EDWARD MERRILLFINOP, COMPLIANCE3143679
TOWLE, CHARLES VISHWAMBHARAPARTNER6268043
VASHISTH, PANKAJCHIEF COMPLIANCE OFFICER & CEO5196844
VILLARREAL, FRANK AURELIOINVESTMENTS & COMPLIANCE2035036

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

US CAPITAL GLOBAL SECURITIES, LLC

CRD#: 169544San Francisco, CA 94111

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