Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Spencer? Claim Your ProfileSpencer Smith is a financial advisor with U.S. Bancorp Investments, Inc. in Los Angeles, CA. Spencer has been in the industry since 2009 and holds several licenses and certifications, including Series 7, Series 63, and the SIE exam. Spencer has a proven track record of success in the financial services industry, having previously worked at several other well-known firms, including MUFG Securities Americas Inc. and BofA Securities. Spencer is committed to providing personalized financial advice to help 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.
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.
A percentage of the total value of assets under management is charged.
12b-1,networking&shareholder serv,product partner arrangements
1
2
CA
02/03/2023 - Present
U.s. Bancorp Investments, Inc. (Los Angeles CA)
NY
09/25/2020 - 12/05/2022
MUFG SECURITIES AMERICAS INC. (NEW YORK NY)
CA
05/10/2019 - 05/20/2020
BOFA SECURITIES, INC. (LOS ANGELES CA)
CA
10/02/2013 - 05/10/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
NY
11/01/2010 - 07/16/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
04/28/2010 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
10/01/2008 - 04/29/2010
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
09/08/2008 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BC
Issued 09/09/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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