Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Lewis Spencer III is a financial advisor with First Command Advisory Services. Richard has been in the financial services industry since 2004 and is registered with FINRA and the state of Texas. Richard's previous experience includes roles with Charles Schwab & Co., Inc., Kestra Investment Services, LLC, Avantax Investment Services, Inc., 1ST GLOBAL CAPITAL CORP, TD Ameritrade, Inc., Fidelity Brokerage Services LLC, MML Investors Services, LLC, Wells Fargo Investments, LLC, Wells Fargo Brokerage Services, L.L.C., and H.D. VEST INVESTMENT SECURITIES, INC. Richard holds FINRA Series 7, 24, 63, and 66 licenses. He provides financial planning and portfolio management services to individuals and businesses.
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.
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
TX
05/26/2021 - Present
First Command Advisory Services (FORT WORTH TX)
TX
08/07/2020 - 03/03/2021
CHARLES SCHWAB & CO., INC. (Westlake TX)
TX
03/09/2020 - 07/23/2020
KESTRA INVESTMENT SERVICES, LLC (Grapevine TX)
TX
10/25/2019 - 01/02/2020
AVANTAX INVESTMENT SERVICES, INC. (DALLAS TX)
TX
09/11/2015 - 10/25/2019
1ST GLOBAL CAPITAL CORP. (DALLAS TX)
TX
01/31/2013 - 07/02/2015
TD AMERITRADE, INC. (FORT WORTH TX)
TX
07/05/2011 - 01/17/2013
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
TX
04/05/2010 - 05/27/2011
MML INVESTORS SERVICES, LLC (FORT WORTH TX)
CA
12/13/2000 - 05/04/2005
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
MN
05/11/2000 - 12/13/2000
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
TX
09/11/1998 - 02/09/2000
H.D. VEST INVESTMENT SECURITIES, INC. (DALLAS TX)
BOTH
Issued 04/21/2010
Series 66 - Uniform Combined State Law Examination
IA
Issued 11/13/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/02/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/28/2018
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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