Anthony F. Spencer

QUARTZ PARTNERS INVESTMENT MANAGEMENT

Saratoga Springs, NY 12866

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CRD#: 6330413

Professional summary

Anthony F Spencer, who also goes by Anthony Francis Spencer, Anthony Spencer, is a registered financial advisor currently at QUARTZ PARTNERS INVESTMENT MANAGEMENT located in Saratoga Springs, New York and ETICO PARTNERS, LLC located in Saratoga Springs, New York.

Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Anthony has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anthony Francis Spencer | Anthony Spencer

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.

Forthright Capital Partners, LLC, investment related, 7251 W Lake Mead Blvd, Ste 300, Las Vegas, NV 89128, Insurance Agency, Insurance Agent, Start Date 04/2023, 160 hours per month and 120 during securities trading hours, Solicitation of individual life insurance and fixed annuity products to consumers.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony F 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

March 4, 2025 - Present

QUARTZ PARTNERS INVESTMENT MANAGEMENT

Office #1: 19 Railroad Place Suite 202, Saratoga Springs, NY 12866

RIA

CRD#: 174327

Saratoga Springs, NY

Current

March 13, 2025 - Present

ETICO PARTNERS, LLC

Office #1: 19 Railroad Pl, Ste 202, Saratoga Springs, NY 12866

CRD#: 122481

Saratoga Springs, NY

Past

March 1, 2024 - February 19, 2025

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

LATHAM, NY

Past

February 26, 2024 - February 19, 2025

PARK AVENUE SECURITIES LLC

CRD#: 46173

LATHAM, NY

Past

August 8, 2023 - October 18, 2023

FORTHRIGHT CAPITAL ADVISORY

RIA

CRD#: 323596

Saratoga Springs, NY

Past

July 16, 2020 - October 6, 2022

NYLIFE SECURITIES LLC

CRD#: 5167

LATHAM, NY

Past

March 10, 2016 - July 17, 2020

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

White Plains, NY

Past

July 1, 2014 - March 14, 2016

NYLIFE SECURITIES LLC

CRD#: 5167

MELVILLE, NY

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".

QUARTZ PARTNERS INVESTMENT MANAGEMENT

CRD#: 174327 / SEC#: 801-80822

RIA

Registered Investment Advisory firm - (1/20/2015 Approved)

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.

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

IAR

Connecticut
(3/4/2025)

Connecticut
(3/13/2025)

IAR

New York
(3/4/2025)

New York
(3/13/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/6/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/19/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/1/2014

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

QUARTZ PARTNERS INVESTMENT MANAGEMENT

CRD#: 174327 / SEC#: 801-80822

RIA

Registered Investment Advisory firm - (1/20/2015 Approved)

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Contact information

Main Address

19 Railroad Place Suite 202, Saratoga Springs, NY 12866

Mailing Address

Phone number

(800) 433-0422

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

QUARTZ PARTNERS ADV PART 2A: CLIENT BROCHURE (3/31/2025)

QUARTZ PARTNERS WRAP BROCHURE (3/31/2025)

ETICO ADV 2A PRIVATE CLIENT BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,124
AUM (Assets Under Management)	$ 281,034,901

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.

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Firm Stability Insights

Anthony F. Spencer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony F Spencer's CRS (Customer Relationship Summary).

Certified licenses

Experience

ETICO PARTNERS, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

FORTHRIGHT CAPITAL ADVISORY

NYLIFE SECURITIES LLC

NYLIFE DISTRIBUTORS LLC

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

QUARTZ PARTNERS INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 3/6/2023

Series 63

Date: 8/19/2014

SIE

Date: 10/1/2018

Series 6

Date: 7/1/2014

FINRA

Current Firm

QUARTZ PARTNERS INVESTMENT MANAGEMENT

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

QUARTZ PARTNERS INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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