Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin Dion Spence is an Investment Advisor Representative at TIAA-CREF Individual & Institutional Services, LLC. Kevin has been in the financial services industry since July 12, 2000. Kevin has experience in the financial services industry, including roles with Cary Street Partners, HSBC Securities (USA) Inc., Wells Fargo Advisors, LLC, Wachovia Securities, LLC, and Salomon Smith Barney Inc. Kevin is a Registered Representative and Investment Advisor Representative in North Carolina. Kevin is also a FINRA Arbitrator, an industry speaker, and an author of scholarly articles on the regulatory environment. Kevin’s clients include individuals, high-net-worth individuals, corporations, and charitable organizations. Kevin specializes in financial planning and portfolio management for individuals and businesses.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Compensation from affiliates
1
2
NC
07/12/2022 - Present
Tiaa-Cref Individual & Institutional Services, LLC (CHARLOTTE NC)
VA
01/16/2018 - 11/02/2020
CARY STREET PARTNERS (RICHMOND VA)
NY
01/13/2016 - 01/30/2018
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
NC
12/14/2010 - 12/07/2015
WELLS FARGO ADVISORS, LLC (CHARLOTTE NC)
MO
05/22/2008 - 12/23/2010
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (ST. LOUIS MO)
MO
07/06/2004 - 05/22/2008
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
MO
01/29/2001 - 07/06/2004
FIRST CLEARING, LLC (ST. LOUIS MO)
NY
04/27/2000 - 01/17/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 03/21/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/24/2024
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 02/26/2018
Series 24 - General Securities Principal Examination
BC
Issued 08/21/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/21/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/09/2024
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/03/2000
Series 7 - General Securities Representative Examination
BC
Issued 04/27/1999
Series 11 - Assistant Representative-Order Processing Qualification Exam
Active
Inactive
F
FINRA
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