Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Edward Spencer is a financial advisor at Raymond James & Associates, Inc. James has been in the financial services industry since 1985 and has experience in a variety of financial planning and investment management areas. James is registered as a broker-dealer and an investment advisor in multiple states. James also owns a family cottage LLC in Traverse City, MI.
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
MI
06/25/2013 - Present
Raymond James & Associates, Inc. (TRAVERSE CITY MI)
MI
05/11/1998 - 09/25/1999
RONEY & CO. (DETROIT MI)
MI
03/04/1996 - 05/11/1998
RONEY & CO. L.L.C. (DETROIT MI)
NJ
01/11/1985 - 03/14/1996
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 06/30/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/09/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/06/1996
Series 7 - General Securities Representative Examination
BC
Issued 01/10/1985
Series 6 - Investment Company Products/Variable Contracts 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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