Spencer B. James
Professional summary
Spencer Brolley James is a registered financial professional currently at FTP SECURITIES LLC located in New York, New York.
Spencer is registered as a RR (Registered Representative) and started their career in finance in 2020. Spencer has worked at 4 firms and has passed the Series 63, Series 79TO, Series 86, Series 87, Series 7TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Spencer Brolley James's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 19, 2026 - Present
FTP SECURITIES LLC
Office #1: 90 Park Ave 16th Floor, New York, NY 10016April 3, 2025 - April 29, 2026
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 16, 2023 - March 31, 2025
JEFFERIES LLC
July 21, 2020 - October 25, 2023
WILLIAM BLAIR
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/19/2026)
Exams
Series 79TO
Date: 5/28/2025
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 7/21/2020
General Securities Representative ExaminationFINRA
Current Firm
FTP SECURITIES LLC
CRD#: 129356 / SEC#: , 8-66218
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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