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

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
SP

Spencer J. Pugh

REDI GLOBAL TECHNOLOGIES LLC
St. Louis, MO 63141
Some features on this profile are disabled
CRD#: 6770919
SP

Professional summary

Spencer Jay Pugh, who also goes by Spencer Jay Pugh, is a registered financial professional currently at REDI GLOBAL TECHNOLOGIES LLC located in St. Louis, Missouri.

Spencer is registered as a RR (Registered Representative) and started their career in finance in 2017. Spencer has worked at 3 firms and has passed the Series 63, Series 3, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Spencer Jay Pugh

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 Jay Pugh'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

June 15, 2023 - Present

REDI GLOBAL TECHNOLOGIES LLC

Office #1: 795 Office Parkway, St. Louis, MO 63141
BD
CRD#: 41924
St. Louis, MO
Past

February 26, 2018 - November 8, 2022

TD AMERITRADE, INC.

BD
CRD#: 7870
ST. LOUIS, MO
Past

May 19, 2017 - February 26, 2018

SCOTTRADE, INC.

BD
CRD#: 8206
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
Missouri
(6/15/2023)
RR
New York
(6/15/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 6/6/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 10/10/2019
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RG
REDI GLOBAL TECHNOLOGIES LLC
REDI GLOBAL TECHNOLOGIES LLC | SPEAR, LEEDS & KELLOGG SPECIALISTS LLC

CRD#: 41924 / SEC#: , 8-49673

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
28 Liberty Street 58th Floor, New York, NY, 10005
Mailing Address
28 Liberty Street 58th Floor Attn Mmaloney, New York, NY, 10005
Phone number
(646) 794-7364
Established
New York since 09/13/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
REFINITIV US LLCOWNER
BALTOVSKI, ALEXANDER NMNFINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO2350828
CUTLER, SETHDIRECTOR2594208
IAMSCICOV WEIGL, KATARINACHIEF COMPLIANCE OFFICER AND SECRETARY7893210
MALONEY, MICHAEL GDIRECTOR, CEO, MANAGING PRINCIPAL5728423
SIBLEY, JOHN HOLDENDIRECTOR5781488

Disclosures

Regulatory Event7

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

REDI GLOBAL TECHNOLOGIES LLC

CRD#: 41924St. Louis, MO 63141

TRUST BUT VERIFY

Monitor Spencer Pugh

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

Similar Advisors

Aaron Andrew Ungerer
Aaron UngererAdvisorCheck Check Mark
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IAR
RR
Frontenac, MO
Dalton J Stockton
Dalton StocktonAdvisorCheck Check Mark
WELLS FARGO CLEARING SERVICES, LLC
IAR
RR
ST. LOUIS, MO
ME
Michael EtheridgeAdvisorCheck Check Mark
CORNERSTONE WEALTH MANAGEMENT, LLC
IAR
RR
ST. PETERS, MO
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics