Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Spencer is a financial advisor with Houlihan Lokey Capital, Inc., based in Minneapolis, Minnesota. Stephen has been in the securities industry since 1998. Stephen has passed the Series 6, 7, 63, and SIE exams, and is registered with FINRA and the state of Minnesota.
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.
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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2
MN
02/03/2003 - Present
Houlihan Lokey Capital, Inc. (MINNEAPOLIS MN)
CA
06/17/2002 - 01/09/2003
HOULIHAN, LOKEY, HOWARD & ZUKIN CAPITAL (LOS ANGELES CA)
MN
02/23/2000 - 11/15/2001
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
NY
09/23/1993 - 11/17/1995
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
BC
Issued 05/05/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/2000
Series 7 - General Securities Representative Examination
BC
Issued 09/22/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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