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MS

Mary C. Spencer

USI ADVISORS
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 6499335
MS

Professional summary

Mary Carter Spencer, who also goes by Carter Spencer, Mary C Spencer, Mary Spencer, is a registered financial advisor currently at USI ADVISORS located in Greenwood Village, Colorado.

Mary is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Mary has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Carter Spencer | Mary C Spencer | Mary Spencer

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) - RIA

Click below to view Mary Carter Spencer's 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

July 19, 2023 - Present

USI ADVISORS

Office #1: 6501 S. Fiddlers Green Circle #100, Greenwood Village, CO 80111
RIA
CRD#: 108113
Greenwood Village, CO
Past

November 18, 2021 - February 10, 2023

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
DENVER, CO
Past

October 18, 2019 - February 10, 2023

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
DENVER, CO
Past

May 25, 2018 - August 7, 2019

DFA SECURITIES LLC

BD
CRD#: 10292
CHARLOTTE, NC
Past

February 24, 2017 - March 8, 2018

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
CHARLOTTE, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
UA
USI ADVISORS
USI ADVISORS | USICG ADVISORS INC. | USICG ADVISORS INC | USI ADVISORS, INC.

CRD#: 108113 / SEC#: 801-56622

RIA
Registered Investment Advisory firm - (6/18/1999 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Colorado
(7/19/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/18/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/7/2017
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 7
Date: 2/24/2017
General Securities Representative Examination

Current Firm

UA
USI ADVISORS
USI ADVISORS | USICG ADVISORS INC. | USICG ADVISORS INC | USI ADVISORS, INC.

CRD#: 108113 / SEC#: 801-56622

RIA
Registered Investment Advisory firm - (6/18/1999 Approved)
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Contact information

Main Address
95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033
Mailing Address
Phone number
(860) 633-5283
Established
Firm type
Fiscal year end
# of Employees
77

SEC notice filing (49 States and Territories)

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

Documents

Latest Form ADV

Part 2 Brochures

USIA ADV 2A - JULY 2025 (7/3/2025)

Regulatory assets under management

Total Number of Accounts1,346
AUM (Assets Under Management)$ 48,864,913,348

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

USI ADVISORS

CRD#: 108113Greenwood Village, CO 80111

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