linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

John Flinn Spence

XMS Capital Partners, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you John? Claim Your Profile

About John Flinn Spence

John Flinn Spence is a financial advisor with over 30 years of experience in the industry. John has been with XMS Capital Partners, LLC since 2007. Prior to that, John worked for several other firms, including Monroe Securities, Inc., Dresdner Kleinwort Wasserstein Securities LLC, ABN AMRO Incorporated, and Morgan Stanley & Co., Incorporated. John is registered with the state of Illinois and Massachusetts. John holds a Series 7, Series 9, Series 10, Series 14, and Series 24 license. John is also a registered Principal with FINRA.

Firm Information

John Spence is currently registered with XMS Capital Partners, LLC. XMS Capital Partners, LLC is a Limited Liability Company formed on September 22, 2006. The firm is registered in Illinois, Louisiana, Massachusetts, New York, Virginia, and Wisconsin. XMS Capital Partners, LLC is also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

28

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.

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

John Spence’s Registration & Firm History

IL

05/29/2007 - Present

XMS Capital Partners, LLC (CHICAGO IL)

IL

10/27/2006 - 05/30/2007

MONROE SECURITIES, INC. (CHICAGO IL)

IL

09/13/2005 - 07/28/2006

DRESDNER KLEINWORT WASSERSTEIN SECURITIES LLC (CHICAGO IL)

CT

06/29/2004 - 08/11/2005

ABN AMRO INCORPORATED (STAMFORD CT)

NY

09/20/1990 - 01/08/2003

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

Not sure if John Flinn Spence is right for you?

Licenses & Designations

BC

Issued 11/22/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 14 - Compliance Officer Examination

BC

Issued 05/11/2006

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 05/10/2006

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 06/26/2001

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/09/1990

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for John Flinn Spence.
Not sure if John Flinn Spence is right for you?