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Steven Spencer

Cetera Advisors LLC

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About Steven Spencer

Steven Spencer is a financial advisor with over 30 years of experience in the industry. He is currently registered with Cetera Advisors LLC and is located in Liberty, Missouri. Steven specializes in helping clients with a range of financial needs, including investment planning, retirement planning, and estate planning. He is committed to providing personalized service and helping clients achieve their financial goals.

Firm Information

Steven Spencer is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

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.

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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Steven Spencer’s Registration & Firm History

MO

01/01/2004 - Present

Cetera Advisors LLC (LIBERTY MO)

OH

03/03/1999 - 01/01/2004

VESTAX SECURITIES CORPORATION (HUDSON OH)

CA

05/18/1995 - 03/03/1999

WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)

IA

03/19/1991 - 05/31/1995

LOCUST STREET SECURITIES, INC. (DES MOINES IA)

MA

11/17/1986 - 03/05/1991

SMA EQUITIES, INC. (WORCESTER MA)

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Licenses & Designations

IA

Issued 05/07/2004

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/17/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/13/2008

Series 7 - General Securities Representative Examination

BC

Issued 05/15/2004

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 02/05/1999

Series 62 - Corporate Securities Limited Representative Examination

BC

Issued 11/12/1986

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Steven Spencer.
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