Spencer C. Spillman
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.
Spencer Charles Spillman, who also goes by Spence Spillman, Spencer Spillman, was a registered financial professional .
Spencer is a previously registered financial professional and started their career in finance in 2022. Spencer had worked at 2 firms and has passed the Series 65, Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2025 - January 13, 2026
TRIPLE CROWN WEALTH MANAGEMENT
October 11, 2022 - July 21, 2025
LPL FINANCIAL LLC
July 2, 2022 - July 21, 2025
LPL FINANCIAL LLC
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
Series 7TO
Date: 7/2/2022
General Securities Representative ExaminationCurrent Firm
TRIPLE CROWN WEALTH MANAGEMENT
CRD#: 289164 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 266 |
| AUM (Assets Under Management) | $ 14,253,740 |
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.
