SO
Spencer J. Orr
MADISON AVENUE SECURITIES
Albuquerque, NM 87109
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CRD#: 7063696
SO
Professional summary
Spencer James Orr, who also goes by Spencer Orr, Spencer J Orr, is a registered financial advisor currently at MADISON AVENUE SECURITIES, LLC located in Albuquerque, New Mexico.
Spencer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Spencer has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Spencer Orr | Spencer J Orr
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.
1.) Name: Mirau Capital Management; Address: 7600 Jefferson St. NE Suite 25, Albuquerque, NM 87109; Investment Related: Yes; Position: Financial Advisor; Duties: Prepping and processing clients, financial planning and investment management, annuity services; Hours Per Week: 40 Hours; Start Date: 12/16/2024 Life, Health, Variable Annuity Insurance License - NM
CRS (Client Relationship Summary) - RIA
Click below to view Spencer James Orr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Spencer James Orr'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®
NoneExperience
Current
December 17, 2024 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 7600 Jefferson Ne Ste 25, Albuquerque, NM 87109RIA
BD
CRD#: 23224
Albuquerque, NM
Current
December 16, 2024 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 7600 Jefferson Ne Ste 25, Albuquerque, NM 87109RIA
BD
CRD#: 23224
Albuquerque, NM
Past
December 19, 2022 - December 20, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
ALBUQUERQUE, NM
Past
December 16, 2022 - December 20, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
ALBUQUERQUE, NM
Past
September 15, 2021 - December 19, 2022
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
SCOTTSDALE, AZ
Past
September 14, 2021 - December 19, 2022
VANGUARD ADVISERS, INC.
RIA
CRD#: 106715
Scottsdale, AZ
Past
May 15, 2019 - February 8, 2021
EDWARD JONES
RIA
CRD#: 250
ALBUQUERQUE, NM
Past
April 17, 2019 - February 8, 2021
EDWARD JONES
BD
CRD#: 250
ALBUQUERQUE, NM
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".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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.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
New Mexico(12/16/2024)
IAR
New Mexico(12/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/17/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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
MADISON AVENUE SECURITIES, LLC
CRD#: 23224Albuquerque, NM 87109TRUST BUT VERIFY
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