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Spencer James Humbles

Charles Schwab & CO., Inc.

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About Spencer James Humbles

Spencer James Humbles is a registered representative with Charles Schwab & Co., Inc., located in Boca Raton, Florida. Spencer has been in the industry since February 2008, holding various positions with TD Ameritrade, Inc. and Ameriprise Financial Services, Inc. Spencer is also registered as an Investment Advisor Representative. Spencer is licensed to sell securities in 27 states, and is registered with FINRA and the state of Florida. Spencer is a financial advisor who offers financial planning services and portfolio management for individual and business clients. Spencer has over 15 years of experience helping investors achieve their financial goals.

Firm Information

Spencer Humbles is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Spencer Humbles’s Registration & Firm History

FL

04/21/2022 - Present

Charles Schwab & CO., Inc. (Boca Raton FL)

FL

12/03/2009 - 05/11/2024

TD AMERITRADE, INC. (Boca Raton FL)

FL

08/23/2007 - 06/22/2009

AMERIPRISE FINANCIAL SERVICES, INC. (PLANTATION FL)

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Licenses & Designations

BOTH

Issued 09/14/2007

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/22/2007

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Spencer James Humbles.
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