Kevin L. Spencer
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.
Kevin Lee Spencer, who also goes by Kevin L Spencer, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1980. Kevin had worked at 6 firms and has passed the Series 63, Series 65, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 1994 - June 28, 1996
D.E. FREY & COMPANY, INC.
March 4, 1991 - April 2, 1991
UBC INVESTMENT CORPORATION
July 11, 1989 - May 11, 1990
BOETTCHER & COMPANY, INC.
June 5, 1987 - June 13, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
May 30, 1984 - June 17, 1987
PRUDENTIAL EQUITY GROUP, LLC
March 20, 1980 - May 30, 1984
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
D.E. FREY & COMPANY, INC.
CRD#: 23595 / SEC#: , 8-40582
Contact information
Documents
Disclosures
| Regulatory Event | 11 |
| Civil Event | 4 |
| Arbitration | 8 |
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.
