Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brad? Claim Your ProfileBrad Lee Spencer is a financial advisor with over 35 years of experience in the industry. Spencer is currently registered with Robert W. Baird & Co. Inc. His previous employment includes RBC Capital Markets, LLC and Dain Rauscher Incorporated. Spencer holds Series 63, 66, 7 and SIE licenses. Spencer is registered with the following states: Arizona, California, Colorado, Florida, Illinois, Iowa, Kansas, Massachusetts, Michigan, Minnesota, Montana, Nebraska, Nevada, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, Virginia, and Wisconsin. Spencer is also a City Council Member for the City of Independence, Minnesota.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
See schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
MN
08/16/2024 - Present
Robert W. Baird & Co. Inc. (MINNETONKA MN)
MN
03/02/1998 - 08/28/2024
RBC CAPITAL MARKETS, LLC (MINNETONKA MN)
NA
02/27/1987 - 03/02/1998
DAIN RAUSCHER INCORPORATED
BOTH
Issued 04/03/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/27/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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