Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Spencer? Claim Your ProfileSpencer Decker Stone Jr. is an active investment advisor representative with UBS Financial Services Inc. Spencer has been in the industry since 1993 and has experience working with various firms including Morgan Stanley, Morgan Stanley & Co. Incorporated, Morgan Stanley DW Inc., Natcity Investments, Inc., Lockwood Financial Services, Inc., Investment Management & Research, Inc, Dean Witter Reynolds Inc., and Kidder, Peabody & Co. Incorporated. Spencer specializes in several areas including Portfolio Management for Individuals, Portfolio Management for Businesses, Pension Consulting, Financial Planning, Selection of Other Advisors, Publication of Periodicals, 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.
See schedule d - miscellaneous
1
2
OH
10/03/2016 - Present
UBS Financial Services Inc. (SYLVANIA OH)
OH
06/01/2009 - 05/10/2016
MORGAN STANLEY (TOLEDO OH)
OH
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (TOLEDO OH)
OH
01/19/2007 - 04/02/2007
MORGAN STANLEY DW INC. (TOLEDO OH)
OH
04/20/2000 - 01/22/2007
NATCITY INVESTMENTS, INC. (TOLEDO OH)
PA
07/11/1997 - 03/29/2000
LOCKWOOD FINANCIAL SERVICES, INC. (MALVERN PA)
FL
11/21/1995 - 07/11/1997
INVESTMENT MANAGEMENT & RESEARCH, INC (ST. PETERSBURG FL)
NY
09/26/1994 - 12/14/1995
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
12/06/1993 - 10/03/1994
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
IA
Issued 12/17/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/17/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/24/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/24/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/03/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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