Spencer S. Groshong
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 Stanley Groshong was a registered financial professional .
Spencer is a previously registered financial professional and started their career in finance in 2015. Spencer had worked at 2 firms and has passed the Series 66, 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
August 5, 2016 - February 27, 2018
ENLIGHTEN FINANCIAL SERVICES, LLC
April 10, 2015 - April 21, 2016
PRINCIPAL SECURITIES, INC.
January 21, 2015 - April 21, 2016
PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ENLIGHTEN FINANCIAL SERVICES, LLC
CRD#: 283841 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 21,649,110 |
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.
