AS
Adam E. Spence
303 SECURITIES, LP
Chicago, IL 60654
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CRD#: 8016592
AS
Professional summary
Adam E Spence is a registered financial professional currently at 303 SECURITIES, LP located in Chicago, Illinois.
Adam is registered as a RR (Registered Representative) and started their career in finance in 2025. Adam has worked at 1 firm and has passed the Series 27 exam.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Adam E Spence'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
March 10, 2025 - Present
303 SECURITIES, LP
Office #1: 401 W. Superior Street, Chicago, IL 60654BD
CRD#: 288569
Chicago, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
3S
303 SECURITIES, LP
303 SECURITIES, LLC | ARB SECURITIES | 303 SECURITIES, LP
CRD#: 288569 / SEC#: , 8-69952
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
401 W. Superior Street, Chicago, IL 60654
Mailing Address
401 W. Superior Street, Chicago, IL 60654
Phone number
(312) 605-8012
Established
Delaware since 03/02/2017
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Small
# of Employees
Documents
Disclosures
| Regulatory Event | 1 |
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.
