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Spencer Stanley Groshong

CRD# 6427042·Registered 2015 - 2018
Previously Registered: Being a previously registered professional could mean that Spencer 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.

Professional Summary

Spencer Stanley Groshong was a registered financial advisor. Spencer was a previously registered financial professional and started their career in finance 2015 - 2018. Spencer had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

11 years in the financial services industry

Current & Past Employments

ENLIGHTEN FINANCIAL SERVICES, LLC·CRD# 283841
RIA
Eugene, OR
August 5, 2016 - February 27, 2018
PRINCIPAL SECURITIES, INC.·CRD# 1137
RIA
Lake Oswego, OR
April 10, 2015 - April 21, 2016
PRINCIPAL SECURITIES, INC.·CRD# 1137
BD
Lake Oswego, OR
January 21, 2015 - April 21, 2016

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Current Firm

EF
ENLIGHTEN FINANCIAL SERVICES, LLC

ENLIGHTEN ADVISORS, LLC | ENLIGHTEN FINANCIAL SERVICES, LLC

CRD#: 283841

Contact Information

Main Address

Eugene, OR

Phone Number

(541) 913-1880

# of Employees

1

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

2

AUM (Assets Under Management)

$21,649,110

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Mar 2015About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Apr 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 2015About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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SG
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