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SC

Spencer S. Clark

SAINTS ADVISORS LLC
Denver, CO 80206
Some features on this profile are disabled
CRD#: 6940339
SC

Professional summary

Spencer Steven Clark, who also goes by Spencer Clark, is a registered financial professional currently at SAINTS ADVISORS LLC located in Denver, Colorado.

Spencer is registered as a RR (Registered Representative) and started their career in finance in 2018. Spencer has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Spencer Clark

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 Steven Clark'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

September 27, 2021 - Present

SAINTS ADVISORS LLC

Office #1: 205 Madison Street, Denver, CO 80206
BD
CRD#: 117126
Denver, CO
Past

May 31, 2018 - July 20, 2021

MICROVENTURE MARKETPLACE INC.

BD
CRD#: 152513
AUSTIN, TX

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
Colorado
(10/11/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 6/28/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/31/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SA
SAINTS ADVISORS LLC
SAINTS ADVISORS LLC

CRD#: 117126 / SEC#: , 8-53586

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
205 Madison Street, Denver, CO 80206
Mailing Address
1580 N Logan St Ste 660 Pmb 29471, Denver, CO 80203
Phone number
(415) 773-2080
Established
Delaware since 05/26/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SAWYER, KENNETH BENSONSOLE MEMBER MANAGER1559394
SAWYER, KENNETH BENSONCCO1559394
SAWYER, KENNETH BENSONFINOP OFFICER1559394
SAWYER, KENNETH BENSONPRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER1559394

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

SAINTS ADVISORS LLC

CRD#: 117126Denver, CO 80206

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