Regina N. Spence

CWS FINANCIAL ADVISORS LLC

Kalamazoo, MI 49007

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CRD#: 6924568

Professional summary

Regina N Spence, who also goes by Regina Natascha Harrison, Regina Natascha Spence, is a registered financial advisor currently at CWS FINANCIAL ADVISORS LLC located in Kalamazoo, Michigan.

Regina is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Regina has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Regina Natascha Harrison | Regina Natascha Spence

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 Regina N Spence'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

September 14, 2021 - Present

CWS FINANCIAL ADVISORS LLC

Office #1: 405 West Michigan Avenue Suite 110, Kalamazoo, MI 49007

RIA

CRD#: 297000

Kalamazoo, MI

Past

April 1, 2019 - September 16, 2021

LPL FINANCIAL LLC

RIA

CRD#: 6413

GRAND RAPIDS, MI

Past

April 1, 2019 - September 16, 2021

LPL FINANCIAL LLC

CRD#: 6413

GRAND RAPIDS, MI

Past

June 1, 2018 - March 20, 2019

EDWARD JONES

RIA

CRD#: 250

MATTAWAN, MI

Past

May 9, 2018 - March 20, 2019

EDWARD JONES

CRD#: 250

MATTAWAN, MI

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".

CWS FINANCIAL ADVISORS LLC

CRD#: 297000 / SEC#: 801-113289

RIA

Registered Investment Advisory firm - (5/23/2018 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

Michigan
(9/14/2021)

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

State Security Law Exam

IAR

Series 66

Date: 5/31/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/9/2018

General Securities Representative Examination

Current Firm

CWS FINANCIAL ADVISORS LLC

CRD#: 297000 / SEC#: 801-113289

RIA

Registered Investment Advisory firm - (5/23/2018 Approved)

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Contact information

Main Address

405 West Michigan Avenue Suite 110, Kalamazoo, MI 49007

Mailing Address

Phone number

(269) 349-4600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CWS FINANCIAL PART 2A_03-29-2019 (10/20/2025)

Regulatory assets under management

Total Number of Accounts	2,149
AUM (Assets Under Management)	$ 1,198,728,785

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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Regina N. Spence

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Regina N Spence's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

CWS FINANCIAL ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/31/2018

SIE

Date: 10/1/2018

Series 7

Date: 5/9/2018

Current Firm

CWS FINANCIAL ADVISORS LLC

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CWS FINANCIAL ADVISORS LLC

TRUST BUT VERIFY

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