Scott J. Spencer
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.
Scott Joseph Spencer, who also goes by Scott Spencer, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2016. Scott had worked at 4 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2018 - March 27, 2023
PRENTICE FINANCIAL PLANNING, LLC
February 12, 2018 - July 5, 2018
SAWSTON WEALTH MANAGEMENT LLC
December 13, 2016 - November 2, 2017
SII INVESTMENTS, INC.
June 24, 2016 - August 12, 2016
FOX RIVER CAPITAL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
PRENTICE FINANCIAL PLANNING, LLC
CRD#: 286565 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 519 |
| AUM (Assets Under Management) | $ 97,281,672 |
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.
