Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Courtenay? Claim Your ProfileCourtenay Tamia Spencer is a financial professional with over eight years of experience in the financial services industry. Courtenay is a registered representative and investment advisor with Wells Fargo Advisors Financial Network, LLC and Wells Fargo Clearing Services, LLC. Courtenay has a broad range of experience working with individual clients, corporations, and charitable organizations. Courtenay specializes in providing investment consulting services to institutional clients and financial planning services for individuals. Courtenay holds a Series 7, Series 24, Series 4, Series 52TO, Series 53 and Series 63 license.
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.
Investment consulting services to institutional clients
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
NC
07/05/2023 - Present
Wells Fargo Advisors Financial Network, LLC (CHARLOTTE NC)
IA
08/19/2022 - 06/29/2023
PRINCIPAL SECURITIES, INC. (DES MOINES IA)
SC
09/28/2021 - 07/14/2022
LPL FINANCIAL LLC (FORT MILL SC)
MO
12/11/2019 - 08/23/2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (ST. LOUIS MO)
MO
12/11/2019 - 08/23/2021
WELLS FARGO CLEARING SERVICES, LLC (ST. LOUIS MO)
SC
01/02/2018 - 05/09/2019
LPL FINANCIAL LLC (FORT MILL SC)
NC
05/12/2017 - 08/16/2017
MML INVESTORS SERVICES, LLC (CHARLOTTE NC)
SC
02/27/2017 - 05/10/2017
LPL FINANCIAL LLC (FORT MILL SC)
NC
06/30/2015 - 09/22/2016
METLIFE INVESTORS DISTRIBUTION COMPANY (CHARLOTTE NC)
NC
04/24/2015 - 06/30/2016
METLIFE SECURITIES, INC (CHARLOTTE NC)
NC
10/29/2013 - 04/20/2015
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
IA
Issued 01/06/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/07/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/27/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/01/2021
Series 4 - Registered Options Principal Examination
BC
Issued 06/22/2015
Series 24 - General Securities Principal Examination
BC
Issued 05/23/2022
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/2013
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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