Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Spencer? Claim Your ProfileSpencer Harman is a financial professional with over 20 years of experience in the industry. Spencer is currently registered with Stifel, Nicolaus & Company, Inc. Spencer has a strong track record of success in providing financial advice and investment management services to a wide range of clients.
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.
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2
CT
06/28/2013 - Present
Stifel, Nicolaus & Company, Inc. (STAMFORD CT)
NY
07/02/2012 - 06/28/2013
KNIGHT CAPITAL AMERICAS LLC (NEW YORK NY)
CT
01/03/2011 - 07/02/2012
KNIGHT CAPITAL AMERICAS, L.P. (GREENWICH CT)
CT
09/23/2009 - 01/03/2011
KNIGHT LIBERTAS LLC (GREENWICH CT)
NY
11/20/2007 - 04/02/2009
UBS SECURITIES LLC (NEW YORK NY)
NY
10/06/2005 - 11/16/2007
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
01/14/2005 - 09/29/2005
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NY
05/13/2003 - 01/18/2005
RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)
NY
02/18/1998 - 03/06/2003
SCOTIA CAPITAL (USA) INC. (NEW YORK NY)
BC
Issued 04/18/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/17/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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