Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Spencer? Claim Your ProfileSpencer Kozmata is a financial advisor at Schwab Wealth Advisory, Inc. Spencer has been in the financial services industry since May 2017. Spencer has a Series 66 license as well as licenses for Series 7TO, Series 3, Series 34, Series 9, and Series 10. Spencer has been registered with the Securities and Exchange Commission (SEC) since June 2021, and is licensed in 53 states and jurisdictions. Spencer is a highly experienced advisor with a proven track record of success. Spencer provides financial planning, portfolio management for individuals and businesses and is active with Schwab Wealth Advisory, Inc.
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.
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.
Swa program paid by wrap sponsor pursuant to cost plan formula.
1
2
CO
08/27/2024 - Present
Schwab Wealth Advisory, Inc. (Lone Tree CO)
CO
03/16/2020 - 06/29/2021
RAYMOND JAMES FINANCIAL SERVICES, INC. (LONE TREE CO)
BOTH
Issued 8/7/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 7/20/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 3/8/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/17/2022
Series 34 - Retail Off-Exchange FOREX Examination
BC
Issued 1/18/2022
Series 3 - National Commodity Futures Examination
BC
Issued 3/14/2020
Series 7TO - General Securities Representative Examination
BC
Issued 2/11/2020
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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