Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chris? Claim Your ProfileChris Spencer is a financial advisor with over 20 years of experience in the industry. Chris holds both Series 66 and Series 7 licenses. Chris is a Registered Representative with Mariner Independent, and has previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC of America Investment Services, Inc., and Morgan Stanley DW Inc. Chris is registered to provide financial services in Arizona, California, Indiana, Nevada, New Mexico, Texas and Washington.
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.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
CA
04/20/2017 - Present
Mariner Independent (San Jose CA)
CA
10/23/2009 - 04/25/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN JOSE CA)
CA
11/24/2006 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (MORGAN HILL CA)
CA
12/03/2003 - 11/28/2006
MORGAN STANLEY DW INC. (SANTA CRUZ CA)
BOTH
Issued 12/23/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/30/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 12/02/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Chris Spencer is the right advisor for you? Invested Better is here to help.
