Mathew E. Spencer
Professional summary
Mathew Edward Spencer, who also goes by Mat Spencer, Mathew Spencer, is a registered financial advisor currently at SARATOGA RESEARCH & INVESTMENT MANAGEMENT located in Saratoga, California.
Mathew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Mathew has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mathew Edward Spencer's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 24, 2019 - Present
SARATOGA RESEARCH & INVESTMENT MANAGEMENT
Office #1: 14471 Big Basin Way, Suite E, Saratoga, CA 95070January 9, 2015 - March 4, 2019
CITIZENS JMP SECURITIES, LLC
Primary Firm SEC Registration
SARATOGA RESEARCH & INVESTMENT MANAGEMENT
CRD#: 110506 / SEC#: 801-57695
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(4/24/2019)
Exams
Current Firm
SARATOGA RESEARCH & INVESTMENT MANAGEMENT
CRD#: 110506 / SEC#: 801-57695
Contact information
SEC notice filing (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,016 |
| AUM (Assets Under Management) | $ 2,511,054,488 |
Red Flags
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