Spencer B. Troy
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 Bertram Troy was a registered financial professional .
Spencer is a previously registered financial professional and started their career in finance in 1977. Spencer had worked at 15 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2007 - January 24, 2017
H. RIVKIN & CO., INC.
April 22, 2003 - April 9, 2007
JVB FINANCIAL GROUP, LLC
March 22, 2001 - April 22, 2003
STERLING FINANCIAL INVESTMENT GROUP, INC.
June 24, 1998 - November 19, 1999
H. RIVKIN & CO., INC.
August 19, 1996 - August 20, 1997
FIRST CLEARING, LLC
June 29, 1993 - August 21, 1996
MERIDIAN SECURITIES, INC.
December 21, 1991 - January 4, 1993
GUARDIAN INVESTOR SERVICES LLC
December 14, 1989 - March 3, 1990
CORNERSTONE SECURITIES, INC.
September 20, 1988 - December 19, 1989
WACHOVIA SECURITIES, INC.
January 21, 1988 - September 26, 1988
MORGAN KEEGAN & COMPANY, LLC
July 1, 1987 - February 1, 1988
REFCO SECURITIES, LLC
June 12, 1986 - February 18, 1987
VINING-SPARKS SECURITIES, INC.
October 4, 1983 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
February 3, 1983 - October 17, 1983
ADVEST, INC.
October 20, 1980 - June 2, 1983
EQUITABLE ADVISORS, LLC
February 3, 1977 - June 2, 1983
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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 1
Date: 1/29/1977
Registered Representative ExaminationCurrent Firm
H. RIVKIN & CO., INC.
CRD#: 29459 / SEC#: , 8-44344
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW DEVENTER ENTERPRISES, LLC | SHAREHOLDER | |
| HOEVERS, JEROEN ROBERT | PRESIDENT/CHIEF COMPLIANCE OFFICER/FINOP/SECRETARY/TREASURER | 4064773 |
Disclosures
| Regulatory Event | 3 |
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.
