SP
Spencer P. Peet
KEY FINANCIAL
West Chester, PA 19380
Some features on this profile are disabled
CRD#: 7286850
SP
Professional summary
Spencer Paul Peet is a registered financial advisor currently at KEY FINANCIAL, INC. located in West Chester, Pennsylvania and OSAIC WEALTH, INC. located in West Chester, Pennsylvania.
Spencer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Spencer has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. Independent Insurance Agent; not investment-related; started 07/2020; zero hours per month. 2. KEY FINANCIAL, INC POSITION: n/a NATURE: N/a INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2020 ADDRESS: 1045 Andrew Drive, Suite A, West Chester PA 19380, United States DESCRIPTION: I do not actively sell insurance products. The license is maintained to remain knowledgeable about the insurance industry and to understand products that clients have.
CRS (Client Relationship Summary) - RIA
Click below to view Spencer Paul Peet'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
April 27, 2022 - Present
KEY FINANCIAL, INC.
Office #1: 1045a Andrew Drive, West Chester, PA 19380RIA
CRD#: 116240
West Chester, PA
Current
August 12, 2021 - Present
OSAIC WEALTH, INC.
Office #1: 1045 Andrew Drive Suite A, West Chester, PA 19380RIA
BD
CRD#: 23131
West Chester, PA
Past
August 18, 2021 - March 12, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
SCOTTSDALE, AZ
Past
August 31, 2020 - May 24, 2021
TRINITY WEALTH SECURITIES, L.L.C.
BD
CRD#: 104348
Philadelphia, PA
Past
August 13, 2020 - July 8, 2021
FLORIDA FINANCIAL ADVISORS, LLC
RIA
CRD#: 288811
Philadelphia, PA
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".
KF
KEY FINANCIAL, INC.
KEY FINANCIAL, INC.
CRD#: 116240 / SEC#: 801-107742
RIA
Registered Investment Advisory firm - (5/5/2016 Approved)Delaware
Registered Investment Advisory firm - (5/11/2016 Terminated)Florida
Registered Investment Advisory firm - (5/11/2016 Terminated)Maryland
Registered Investment Advisory firm - (7/18/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (5/11/2016 Terminated)North Carolina
Registered Investment Advisory firm - (5/16/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (5/12/2016 Terminated)South Carolina
Registered Investment Advisory firm - (5/11/2016 Terminated)Texas
Registered Investment Advisory firm - (5/11/2016 Terminated)Virginia
Registered Investment Advisory firm - (5/11/2016 Terminated)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
Pennsylvania(8/12/2021)
IAR
Pennsylvania(4/27/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/2/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 8/30/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KF
KEY FINANCIAL, INC.
KEY FINANCIAL, INC.
CRD#: 116240 / SEC#: 801-107742
RIA
Registered Investment Advisory firm - (5/5/2016 Approved)Delaware
Registered Investment Advisory firm - (5/11/2016 Terminated)Florida
Registered Investment Advisory firm - (5/11/2016 Terminated)Maryland
Registered Investment Advisory firm - (7/18/2016 Terminated)Massachusetts
Registered Investment Advisory firm - (5/11/2016 Terminated)North Carolina
Registered Investment Advisory firm - (5/16/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (5/12/2016 Terminated)South Carolina
Registered Investment Advisory firm - (5/11/2016 Terminated)Texas
Registered Investment Advisory firm - (5/11/2016 Terminated)Virginia
Registered Investment Advisory firm - (5/11/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1045a Andrew Drive, West Chester, PA 19380
Mailing Address
Phone number
(610) 429-9050
Established
Firm type
Fiscal year end
# of Employees
35
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,622 |
| AUM (Assets Under Management) | $ 2,457,029,591 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
