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Mary Carter Spencer

USI Advisors

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About Mary Carter Spencer

Mary Spencer is a financial advisor who has been in the industry since 2017. Mary has a strong background in financial services, having worked for several well-known firms, including UBS Financial Services Inc, Dimensional Fund Advisors, and Vanguard Marketing Corporation. Mary holds Series 63 and 66 licenses, as well as the SIE and Series 7 exams. Mary currently works with USI Advisors, a firm with over 70 investment advisor representatives and a wide range of client types, including insurance companies, investment companies, charitable organizations, and state or municipal government entities.

Firm Information

Mary Spencer is currently registered with USI Advisors. USI Advisors is an investment advisory firm headquartered in Glastonbury, CT. Founded in 1998, USI Advisors provides investment advisory services to corporations, pension funds, and other institutional clients. The firm specializes in portfolio management, pension consulting, and selection of other advisors. USI Advisors is registered with the SEC and has over 70 investment advisor representatives.
USI Advisors

95 GLASTONBURY BLVD.

GLASTONBURY, CT 06033

$41.62B

Assets Under Management

Not reported

Total Clients

65

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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pension consulting services

Guidance on pension options to ensure a secure financial future.

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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 businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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seminars and consultations

Seminars and consultations

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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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Mary Spencer’s Registration & Firm History

CT

07/19/2023 - Present

USI Advisors (GLASTONBURY CT)

CO

10/18/2019 - 02/10/2023

UBS FINANCIAL SERVICES INC. (DENVER CO)

NC

05/25/2018 - 08/07/2019

DFA SECURITIES LLC (CHARLOTTE NC)

NC

02/24/2017 - 03/08/2018

VANGUARD MARKETING CORPORATION (CHARLOTTE NC)

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Licenses & Designations

BOTH

Issued 11/18/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 03/07/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/24/2017

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Mary Carter Spencer.
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