Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Spencer? Claim Your ProfileSpencer Seaman is a financial advisor with UBS Financial Services Inc. Spencer has been in the financial industry since 1987. Spencer has a Series 7, Series 31, Series 63, and Series 66 securities license. Spencer has provided financial advice to individuals, businesses, and institutions for over 30 years. Spencer's practice is focused on providing personalized financial advice and investment management services. Spencer is committed to helping clients reach their financial goals. Spencer has a strong track record of success in the financial services industry.
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
07/16/2009 - Present
UBS Financial Services Inc. (ROCKY RIVER OH)
OH
09/24/1987 - 05/21/2009
CITIGROUP GLOBAL MARKETS INC. (WESTLAKE OH)
BOTH
Issued 09/01/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/14/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 09/19/1987
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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