Spencer Thomas Farina
Professional Summary
Spencer Thomas Farina, who also goes by Spencer Farina, is a registered financial advisor currently at XMS CAPITAL PARTNERS, LLC located in Chicago, Illinois. Spencer is registered as a RR (Registered Representative) and started their career in finance in 2022. Spencer has worked at 1 firm and has passed the Series 63, Series 7TO, Series 79TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Spencer Thomas Farina, Spencer Farina
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
5 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
XMS CAPITAL PARTNERS, LLC
Contact Information
Main Address
321 N Clark Street Suite 2440, Chicago, IL 60654Mailing Address
321 N Clark Street Suite 2440, Chicago, IL 60654Phone Number
(312) 262-5642Established
Delaware since 09/22/2006Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (38 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(8/3/2022)
(8/3/2022)
(8/3/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jun 2022About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Spencer Thomas Farina's CRS (Customer Relationship Summary).
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