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Keith J Spengel

Foundations Investment Advisors LLC

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About Keith J Spengel

Keith Spengel is a financial advisor at Foundations Investment Advisors LLC. Keith has over 10 years of experience in the financial services industry. Keith is licensed to provide financial advice in Colorado and is a registered representative. Keith specializes in financial planning, portfolio management, and educational seminars. Keith has a strong commitment to helping his clients reach their financial goals.

Firm Information

Keith Spengel is currently registered with Foundations Investment Advisors LLC. Foundations Investment Advisors LLC is an investment advisory firm located in Phoenix, AZ. With over $6.7 billion in regulatory assets under management, the firm provides financial planning, educational seminars, and portfolio management services to individuals, high-net-worth individuals, and corporations. The firm is registered with the SEC and has a team of 187 licensed agents and investment advisor representatives.
Foundations Investment Advisors LLC

4050 E. COTTON CENTER BLVD.

PHOENIX, AZ 85040

$6.71B

Assets Under Management

Not reported

Total Clients

203

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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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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Keith Spengel’s Registration & Firm History

CO

05/31/2024 - Present

Foundations Investment Advisors LLC (Denver CO)

CO

01/23/2019 - 08/09/2019

CABOT LODGE SECURITIES LLC (DENVER CO)

NY

04/22/2016 - 06/05/2018

EF LEGACY SECURITIES, LLC (NEW YORK NY)

NY

10/17/2013 - 04/22/2016

SANDERS MORRIS HARRIS LLC (NEW YORK NY)

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Licenses & Designations

IA

Issued 02/16/2024

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/25/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/05/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/17/2013

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Keith J Spengel.
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