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SJ

Spencer J. Johans

BENEFIT FINANCE SECURITIES
St. Louis, MO 63141-7164
Some features on this profile are disabled
CRD#: 6460511
SJ

Professional summary

Spencer John Johans is a registered financial professional currently at BENEFIT FINANCE SECURITIES, LLC located in St. Louis, Missouri.

Spencer is registered as a RR (Registered Representative) and started their career in finance in 2015. Spencer has worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Spencer John Johans'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

November 24, 2015 - Present

BENEFIT FINANCE SECURITIES, LLC

Office #1: Six Cityplace Drive Suite 400, St. Louis, MO 63141-7164
BD
CRD#: 45113
St. Louis, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Arkansas
(2/6/2019)
RR
Connecticut
(2/6/2019)
RR
Delaware
(8/15/2023)
RR
District of Columbia
(5/24/2023)
RR
Florida
(10/4/2023)
RR
Hawaii
(5/24/2023)
RR
Illinois
(2/6/2019)
RR
Indiana
(8/15/2023)
RR
Maryland
(6/5/2019)
RR
Missouri
(1/1/2017)
RR
New Jersey
(2/6/2019)
RR
North Carolina
(8/15/2023)
RR
Ohio
(8/16/2023)
RR
Oklahoma
(5/24/2023)
RR
Pennsylvania
(2/6/2019)
RR
South Carolina
(5/24/2023)
RR
South Dakota
(5/3/2024)
RR
Wisconsin
(5/24/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 12/30/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/24/2015
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BF
BENEFIT FINANCE SECURITIES, LLC
BENEFIT FINANCE SECURITIES, LLC

CRD#: 45113 / SEC#: , 8-50982

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
14605 N 73rd St, Scottsdale, AZ 85260
Mailing Address
14605 N 73rd St, Scottsdale, AZ 85260
Phone number
(480) 676-6400
Established
Missouri since 12/04/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (35 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BANCORP SERVICES, LLCDIRECT OWNER
DOHERTY, ERIN ECCO4576409

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.

Company Information

BENEFIT FINANCE SECURITIES, LLC

CRD#: 45113St. Louis, MO 63141-7164

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