AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SM

Spencer Morgan

CANTOR FITZGERALD INVESTMENT ADVISORS
La Jolla, CA 92037
Some features on this profile are disabled
CRD#: 6701196
SM

Professional summary

Spencer Morgan, who also goes by Spencer Herbert William Morgan, is a registered financial advisor currently at CANTOR FITZGERALD INVESTMENT ADVISORS located in La Jolla, California.

Spencer is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Spencer has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Spencer Herbert William Morgan

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 Spencer Morgan'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

March 6, 2026 - Present

CANTOR FITZGERALD INVESTMENT ADVISORS

Office #1: 4180 La Jolla Village Drive Suite 315, La Jolla, CA 92037
RIA
CRD#: 159296
La Jolla, CA
Past

March 10, 2017 - April 11, 2023

CANTOR FITZGERALD INVESTMENT ADVISORS

RIA
CRD#: 159296
LA JOLLA, CA
Past

February 1, 2017 - March 24, 2017

EFFICIENT MARKET ADVISORS, LLC

RIA
CRD#: 132188
La Jolla, CA

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".
CF
CANTOR FITZGERALD INVESTMENT ADVISORS
BSP MEMBER MANAGER, LLC (RELYING ADVISOR) | FLIPPIN BRUCE & PORTER | EFFICIENT MARKET ADVISORS | CDMF, LLC (RELYING ADVISOR) | CDF II, LLC (RELYING ADVISOR) | CANTOR FITZGERALD INVESTMENT ADVISORS, L.P. | CANTOR FITZGERALD INVESTMENT ADVISORS

CRD#: 159296 / SEC#: 801-72852

RIA
Registered Investment Advisory firm - (11/15/2011 Approved)
Delaware
Registered Investment Advisory firm - (5/22/2018 Terminated)

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
California
(3/6/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/13/2026
Uniform Investment Adviser Law Examination

Current Firm

CF
CANTOR FITZGERALD INVESTMENT ADVISORS
BSP MEMBER MANAGER, LLC (RELYING ADVISOR) | FLIPPIN BRUCE & PORTER | EFFICIENT MARKET ADVISORS | CDMF, LLC (RELYING ADVISOR) | CDF II, LLC (RELYING ADVISOR) | CANTOR FITZGERALD INVESTMENT ADVISORS, L.P. | CANTOR FITZGERALD INVESTMENT ADVISORS

CRD#: 159296 / SEC#: 801-72852

RIA
Registered Investment Advisory firm - (11/15/2011 Approved)
Delaware
Registered Investment Advisory firm - (5/22/2018 Terminated)
Loading...

Contact information

Main Address
110 East 59th Street 7th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 915-1722
Established
Firm type
Fiscal year end
# of Employees
35

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CFIA ADV PART 2 & 2B 2025 (3/14/2025)

Regulatory assets under management

Total Number of Accounts1,286
AUM (Assets Under Management)$ 2,384,816,869

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

CANTOR FITZGERALD INVESTMENT ADVISORS

CRD#: 159296La Jolla, CA 92037

TRUST BUT VERIFY

Monitor Spencer Morgan

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Paul Avila Neves
Paul NevesAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
SAN DIEGO, CA
Alice Ruiz
Alice RuizAdvisorCheck Check Mark
SCHWAB WEALTH ADVISORY, INC.
IAR
RR
San Diego, CA
Nilay Barefield
Nilay BarefieldAdvisorCheck Check Mark
CETERA INVESTMENT ADVISERS LLC
IAR
RR
San Diego, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.