Spencer C. Spillman

TRIPLE CROWN WEALTH MANAGEMENT

LEXINGTON, KY 40509

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CRD#: 7490282

Professional summary

Spencer Charles Spillman, who also goes by Spence Spillman, Spencer Spillman, is a registered financial advisor currently at TRIPLE CROWN WEALTH MANAGEMENT located in Lexington, Kentucky.

Spencer is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Spencer has worked at 2 firms and has passed the Series 65, Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Spence Spillman | Spencer Spillman

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. 11/07/2022 - No Business Name - Not Investment Related - Home Based - Outside/W-2 Employment - Sub-Contactor/Manager/Owner/Laborer - Start Date - 06/05/2022 - 5 Hours Per Month/0 Hours During Securities Trading 2. 05/09/2024 - Door Dash - Non-Inv Related - Outside/W-2 Employment - Start Date 3/11/2024 - 120 Hrs/Mo; 0 Hrs During Trading. 3. 05/16/2024 - NavCap Wealth Management - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 5/13/2024 - 160 Hrs/Mo During Trading. 4. 05/16/2024 - Navigator Wealth Management - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 5/15/2024 - 160 Hrs/Mo During Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Spencer Charles Spillman'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®

None

Experience

Current

July 28, 2025 - Present

TRIPLE CROWN WEALTH MANAGEMENT

Office #1: 1792 Alysheba Way Suite 100, Lexington, KY 40509

RIA

CRD#: 289164

LEXINGTON, KY

Past

October 11, 2022 - July 21, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

MANSFIELD, OH

Past

July 2, 2022 - July 21, 2025

LPL FINANCIAL LLC

CRD#: 6413

MANSFIELD, OH

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.

Highlighted states indicate IAR registrations

IAR

Kentucky
(7/28/2025)

IAR

Ohio
(7/29/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/23/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/7/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/2/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/6/2021

Securities Industry Essentials Examination

Current Firm

TRIPLE CROWN WEALTH MANAGEMENT

LEXINGTON FINANCIAL ADVISORS, LLC | TRIPLE CROWN WEALTH MANAGEMENT

CRD#: 289164 / SEC#:

Kentucky

Registered Investment Advisory firm - (7/19/2017 Approved)

Ohio

Registered Investment Advisory firm - (8/15/2018 Approved)

Tennessee

Registered Investment Advisory firm - (6/29/2020 Approved)

Virginia

Registered Investment Advisory firm - (8/5/2021 Approved)

West Virginia

Registered Investment Advisory firm - (4/16/2019 Approved)

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Contact information

Main Address

1792 Alysheba Way Suite 100, Lexington, KY 40509

Mailing Address

Phone number

(859) 967-9272

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	150
AUM (Assets Under Management)	$ 8,443,340

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.

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Spencer C. Spillman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Spencer Charles Spillman's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRIPLE CROWN WEALTH MANAGEMENT

LPL FINANCIAL LLC

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/23/2025

Series 66

Date: 10/7/2022

Series 7TO

Date: 7/2/2022

SIE

Date: 12/6/2021

Current Firm

TRIPLE CROWN WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TRIPLE CROWN WEALTH MANAGEMENT

TRUST BUT VERIFY

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