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SP

Spencer T. Patton

ULLICO INVESTMENT COMPANY
Silver Spring, MD 20910
Some features on this profile are disabled
CRD#: 7847879
SP

Professional summary

Spencer Thomas Patton, who also goes by Spencer Patton, is a registered financial professional currently at ULLICO INVESTMENT COMPANY, LLC located in Silver Spring, Maryland.

Spencer is registered as a RR (Registered Representative) and started their career in finance in 2026. Spencer has worked at 1 firm and has passed the Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Spencer Patton

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Spencer Thomas Patton'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

January 1, 2026 - Present

ULLICO INVESTMENT COMPANY, LLC

Office #1: 8403 Colesville Rd. 13th Floor, Silver Spring, MD 20910
BD
CRD#: 135195
Silver Spring, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Maryland
(1/1/2026)

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 12/29/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/1/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

UI
ULLICO INVESTMENT COMPANY, LLC
ULLICO INVESTMENT COMPANY, INC. | ULLICO INVESTMENT COMPANY, LLC

CRD#: 135195 / SEC#: , 8-66906

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
8403 Colesville Rd. 13 Floor, Silver Spring, MD 20910
Mailing Address
8403 Colesville Rd. 13 Floor, Silver Spring, MD 20910
Phone number
(202) 682-0900
Established
Maryland since 07/16/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ULLICO INC.SOLE SHAREHOLDER
HUMPHREY, CATHY ANNCHIEF OPERATIONS OFFICER4899999
HUMPHREY, CATHY ANNDIRECTOR4899999
LAROCQUE, RICHARD FRANCISCHIEF COMPLIANCE OFFICER, GEN. SEC. PRINC2874559
LINEHAN, JOSEPH RICHARDGEN. SEC. PRINC.; AND PRESIDENT4951041
LINEHAN, JOSEPH RICHARDDIRECTOR
YU, YINANCORPORATE SECRETARY, CFO, FINOP, TREASURER, DIRECTOR7787306

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.

Company Information

ULLICO INVESTMENT COMPANY, LLC

CRD#: 135195Silver Spring, MD 20910

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