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Spencer C Rowley

Wells Fargo Securities, LLC

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About Spencer C Rowley

Spencer Rowley is a financial advisor with Wells Fargo Securities, LLC. Spencer has passed the Securities Industry Essentials Exam (SIE), the General Securities Representative Examination (Series 7TO), and the Securities Trader Exam (Series 57TO). Spencer holds a Series 63 license. Spencer is currently registered to provide securities services in 53 states and the District of Columbia. Spencer has been in the financial industry for over 2 years.

Firm Information

Spencer Rowley is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

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.

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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Spencer Rowley’s Registration & Firm History

NY

08/01/2024 - Present

Wells Fargo Securities, LLC (New York NY)

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Licenses & Designations

BC

Issued 07/19/2024

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/13/2024

Series 57TO - Securities Trader Exam

BC

Issued 08/01/2024

Series 7TO - General Securities Representative Examination

BC

Issued 06/25/2024

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Spencer C Rowley.
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