Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Louis Spencer is a financial professional with over 20 years of experience in the industry. He is currently registered with Raymond James & Associates, Inc. and has previously held positions at several other firms. Christopher has a wide range of experience in securities and investments, including municipal securities, investment banking, and financial planning. He holds several industry licenses and designations, including Series 7, Series 24, Series 52, and Series 53. Christopher specializes in providing customized financial solutions to individuals, businesses, and institutions.
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.
Please see note in schedule d - miscellaneous
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.
1
2
IL
04/02/2012 - Present
Raymond James & Associates, Inc. (Chicago IL)
TN
06/07/2005 - 03/14/2013
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
TX
01/03/2005 - 06/07/2005
NFP SECURITIES, INC. (AUSTIN TX)
AZ
03/12/2003 - 05/05/2003
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
MO
04/24/2000 - 10/07/2002
GEORGE K. BAUM & COMPANY (KANSAS CITY MO)
NY
10/11/1999 - 04/28/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 10/19/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/24/2019
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/11/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/08/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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