Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mindy? Claim Your ProfileMindy Spencer is a financial advisor with Wells Fargo Advisors Financial Network, LLC, and Wells Fargo Clearing Services, LLC. Mindy has been in the industry since 1994 and is registered in Georgia. Mindy provides financial planning and portfolio management services to a wide range of clients, including individuals, families, and businesses. Mindy is also a Certified Financial Planner™ professional. Mindy is committed to 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.
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.
Investment consulting services to institutional clients
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
MO
02/06/2023 - Present
Wells Fargo Advisors Financial Network, LLC (ST. LOUIS MO)
WA
12/07/2004 - 06/28/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BELLEVUE WA)
NY
08/12/1999 - 06/09/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
07/01/1998 - 05/11/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
WA
02/17/1994 - 07/01/1998
SEAFIRST INVESTMENT SERVICES, INC. (SEATTLE WA)
BOTH
Issued 12/12/2022
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/08/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/16/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/25/2022
Series 7TO - General Securities Representative Examination
BC
Issued 04/12/2022
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/1999
Series 7 - General Securities Representative Examination
BC
Issued 02/16/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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