Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin Spencer has been in the financial services industry since April 18, 1991. Kevin is currently a registered representative with Charles Schwab & Co., Inc.. Kevin has been registered with Charles Schwab & Co., Inc. since January 2, 2008. Previous to that, Kevin worked at First Montauk Securities Corp. from June 20, 1995, until June 15, 2007, and First Institutional Securities Corp. from May 30, 1995, until June 14, 1995. Kevin's specializations include Financial Planning and Selection of Other Advisers.
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.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
NJ
01/02/2008 - Present
Charles Schwab & CO., Inc. (RED BANK NJ)
NJ
06/20/1995 - 06/15/2007
FIRST MONTAUK SECURITIES CORP. (RED BANK NJ)
NJ
05/30/1995 - 06/14/1995
FIRST INSTITUTIONAL SECURITIES CORP. (WEST PATERSON NJ)
NY
09/24/1993 - 05/23/1994
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NA
10/28/1988 - 05/26/1989
WESTPAC POLLOCK GOVERNMENT SECURITIES INC.
NA
12/02/1986 - 09/28/1988
L. F. ROTHSCHILD & CO. INCORPORATED
NA
07/25/1987 - 07/19/1988
L.F. ROTHSCHILD MORTGAGE CAPITAL CORPORATION
NA
01/23/1986 - 01/21/1987
E. F. HUTTON & COMPANY INC
NA
09/24/1985 - 01/06/1986
L. F. ROTHSCHILD, UNTERBERG, TOWBIN, INC.
BOTH
Issued 09/27/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/29/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/24/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/04/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/22/1998
Series 24 - General Securities Principal Examination
BC
Issued 03/20/1997
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/23/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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