Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Louis? Claim Your ProfileLouis Spence is a financial advisor with Raymond James & Associates, Inc. Louis is a registered representative with a Series 7, Series 63, and Series 52TO license and a certified financial planner. Louis has been in the industry since 1993 and has experience working with a variety of clients, including individuals, families, businesses, and institutions. Louis has a strong track record of providing personalized financial advice and helping clients achieve their financial goals.
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
FL
03/18/2015 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
FL
08/16/2002 - 03/09/2015
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST PETERSBURG FL)
FL
08/18/1999 - 08/30/2002
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
WI
06/01/1999 - 08/27/1999
INVEST FINANCIAL CORPORATION (APPLETON WI)
WI
06/02/1999 - 08/24/1999
INVESTMENT CENTERS OF AMERICA, INC. (APPLETON WI)
FL
10/07/1993 - 05/25/1999
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
IA
Issued 03/17/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/06/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/31/1994
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/07/1994
Series 4 - Registered Options Principal Examination
BC
Issued 12/06/1993
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/06/1993
Series 7 - General Securities 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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