Spencer Head

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CRD#: 6719096

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 Head, who also goes by Spencer T Head, Spencer Timothy Head, Spencer Head, was a registered financial professional .

Spencer is a previously registered financial professional and started their career in finance in 2016. Spencer had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.

Aliases

Spencer T Head | Spencer Timothy Head | Spencer Head

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 7, 2025 - August 24, 2026

BABB WEALTH ADVISORS LLC

RIA

CRD#: 298347

FLAGSTAFF, AZ

Past

September 20, 2022 - May 6, 2024

AVANTAX PLANNING PARTNERS, INC.

RIA

CRD#: 106237

DUBUQUE, IA

Past

September 7, 2022 - May 6, 2024

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

Past

January 25, 2022 - April 12, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SCOTTSDALE, AZ

Past

January 7, 2022 - April 12, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SCOTTSDALE, AZ

Past

June 24, 2021 - October 12, 2021

ALLY INVEST SECURITIES LLC

CRD#: 136131

Charlotte, NC

Past

October 7, 2020 - July 2, 2021

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

SCOTTSDALE, AZ

Past

October 7, 2020 - July 2, 2021

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

March 10, 2020 - July 24, 2020

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

TUKWILA, WA

Past

November 6, 2019 - July 24, 2020

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

TUKWILA, WA

Past

August 9, 2017 - April 11, 2019

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

RENTON, WA

Past

December 16, 2016 - June 27, 2017

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

PHOENIX, AZ

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".

BABB WEALTH ADVISORS LLC

BABB FINANCIAL GROUP, LLC | BABB WEALTH ADVISORS LLC

CRD#: 298347 / SEC#: 801-125695

RIA

Registered Investment Advisory firm - (5/18/2022 Approved)

Arizona

Registered Investment Advisory firm - (6/16/2022 Terminated)

Colorado

Registered Investment Advisory firm - (6/21/2022 Terminated)

Louisiana

Registered Investment Advisory firm - (6/21/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/16/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

What does exam status mean?

State Security Law Exam

Series 65

Status Unavailable

Passed: 2/13/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 1/10/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Status Unavailable

Passed: 12/19/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Status Unavailable

Passed: 12/16/2016

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BABB WEALTH ADVISORS LLC

BABB FINANCIAL GROUP, LLC | BABB WEALTH ADVISORS LLC

CRD#: 298347 / SEC#: 801-125695

RIA

Registered Investment Advisory firm - (5/18/2022 Approved)

Arizona

Registered Investment Advisory firm - (6/16/2022 Terminated)

Colorado

Registered Investment Advisory firm - (6/21/2022 Terminated)

Louisiana

Registered Investment Advisory firm - (6/21/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/16/2022 Terminated)

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Contact information

Main Address

19 W. Aspen Avenue, Flagstaff, AZ 86001

Mailing Address

Phone number

(928) 526-2911

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BABB WEALTH ADVISORS LLC WRAP FEE PROGRAM (3/19/2026)

ADV PART 2A-BABB WEALTH ADVISORS LLC (3/19/2026)

Regulatory assets under management

Total Number of Accounts	927
AUM (Assets Under Management)	$ 209,433,327

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.

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Advisor Monitoring

Firm Stability Insights

Spencer Head

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AVANTAX PLANNING PARTNERS, INC.

AVANTAX INVESTMENT SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

ALLY INVEST SECURITIES LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

FORESTERS FINANCIAL SERVICES, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

BABB WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Passed: 2/13/2020

Series 63

Passed: 1/10/2017

Series 7TO

Passed: 12/19/2019

SIE

Passed: 10/1/2018

Series 6

Passed: 12/16/2016

Current Firm

BABB WEALTH ADVISORS LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BABB WEALTH ADVISORS LLC

TRUST BUT VERIFY

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