Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roxanne? Claim Your ProfileRoxanne Marie Spencer is a financial advisor at Stephens with over 17 years of experience in the industry. Roxanne has been registered with FINRA since January 2004 and has passed the Series 66, Series 7 and SIE exams. Previously, Roxanne was a financial advisor with WELLS FARGO ADVISORS LLC and WELLS FARGO CLEARING SERVICES, LLC. Roxanne is currently registered with the states of Tennessee and Texas. Roxanne's specializations include Portfolio management for Individuals, Portfolio Management for Businesses, Financial Planning, Pension Consulting, and Educational Seminars.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
TN
04/27/2018 - Present
Stephens (MEMPHIS TN)
TN
08/01/2008 - 04/30/2018
WELLS FARGO CLEARING SERVICES, LLC (GERMANTOWN TN)
TN
01/07/2004 - 07/26/2007
A. G. EDWARDS & SONS, INC. (MEMPHIS TN)
BOTH
Issued 02/17/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/06/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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