Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Michael Spencer is a financial advisor with over 30 years of experience in the financial services industry. Philip has worked at a variety of firms, including Merrill Lynch, Lehman Brothers, and UBS Financial Services. Philip has a strong background in providing financial planning and portfolio management services to individuals and families. Philip holds Series 3, 7, 9, 10, 53, 63 and 65 licenses. Currently, Philip is registered with Family Investment Management LP as a Registered Investment Advisor.
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.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CA
02/22/2018 - Present
Family Investment Management LP (CARLSBAD CA)
NJ
05/22/2000 - 10/02/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
06/20/1997 - 05/23/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
11/26/1993 - 06/17/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 12/02/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
08/19/1991 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
10/19/1988 - 08/19/1991
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 07/20/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/23/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/27/2005
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/19/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/04/1989
Series 3 - National Commodity Futures Examination
BC
Issued 10/15/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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