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David Lee Spence

NEW York Life Investment Management LLC

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About David Lee Spence

David Spence is a registered investment advisor with New York Life Investment Management LLC. David has been working in the financial industry since 1998 and has experience with several firms, including Putnam Retail Management Limited Partnership, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Comerica Securities, ABN AMRO Investment Services, Inc., and Standard Brokerage Services, Inc. David has a Series 7, Series 63, and Series 66 license and holds the SIE certification.

Firm Information

David Spence is currently registered with NEW York Life Investment Management LLC. NEW York Life Investment Management LLC is an investment advisor based in NEW YORK, NY. It is a registered investment advisor with the SEC and has a total of 1123 accounts under management. The firm provides portfolio management services for individuals, businesses, investment companies, and pooled investment vehicles. Its assets under management are approximately $109,067,423,343. The firm participates in wrap fee programs.
NEW York Life Investment Management LLC

51 MADISON AVENUE

NEW YORK, NY 10010

$109.07B

Assets Under Management

Not reported

Total Clients

81

Total Financial Advisors

Services Offered

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.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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David Spence’s Registration & Firm History

NY

09/28/2011 - Present

NEW York Life Investment Management LLC (NEW YORK NY)

MA

03/16/2009 - 12/20/2010

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)

MI

03/11/2005 - 02/12/2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FARMINGTON HILLS MI)

MI

02/03/1999 - 03/21/2005

COMERICA SECURITIES (DETROIT MI)

IL

07/27/1998 - 02/08/1999

ABN AMRO INVESTMENT SERVICES, INC. (CHICAGO IL)

NA

04/09/1998 - 07/27/1998

STANDARD BROKERAGE SERVICES, INC.

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Licenses & Designations

BOTH

Issued 11/03/2004

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/13/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/07/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Lee Spence.
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