Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Spencer? Claim Your ProfileSpencer Phua is a financial professional with over 15 years of experience in the industry. Spencer is currently registered with Piper Sandler & Co. in Red Bank, NJ and has been with them since April 2020. Prior to that, Spencer worked at MORGAN STANLEY & CO. LLC and MORGAN STANLEY. Spencer has a broad background in the industry, having previously worked at Lehman Brothers Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Spencer holds Series 63, SIE and Series 7 licenses and has a strong track record of providing investment advice and portfolio management services to clients. Spencer specializes in portfolio management for businesses and also provides analytical reports and public finance consulting.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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.
1
2
NJ
04/13/2020 - Present
Piper Sandler & Co. (Red Bank NJ)
NY
09/08/2016 - 03/10/2020
MORGAN STANLEY & CO. LLC (NEW YORK NY)
NY
12/01/2015 - 09/09/2016
MORGAN STANLEY (PURCHASE NY)
NY
10/17/2003 - 07/14/2006
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
10/19/2000 - 05/02/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 12/28/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/01/2015
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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