Spencer J. Henze
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 James Henze was a registered financial professional .
Spencer is a previously registered financial professional and started their career in finance in 2015. Spencer had worked at 4 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
September 15, 2017 - November 6, 2017
TD AMERITRADE, INC.
September 15, 2017 - November 6, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 15, 2017 - November 6, 2017
TD AMERITRADE, INC.
January 29, 2016 - September 13, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 29, 2016 - September 13, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 10, 2015 - June 24, 2015
EQUITABLE ADVISORS, LLC
April 13, 2015 - June 24, 2015
EQUITABLE ADVISORS, LLC
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
