Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Steven? Claim Your ProfileSteven Spencer has been in the industry since June 2007 and is currently registered with Goldman Sachs & Co. LLC. Prior to joining Goldman Sachs, Steven was a representative at Mercer Allied Company, L.P. from March 2023 to July 2024. Steven has a wide range of licenses and certifications, including Series 3, 7, 9, 10, 14, 24, 55, 57TO and SIE. Steven is licensed in both California and New York and has a strong track record of success in the financial services industry.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Execution charges, custody, management fee
1
2
CA
06/20/2007 - Present
Goldman Sachs & Co. LLC (NEWPORT BEACH CA)
CA
03/31/2023 - 07/23/2024
MERCER ALLIED COMPANY, L.P. (NEWPORT BEACH CA)
BC
Issued 01/23/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/12/2024
Series 14 - Compliance Officer Examination
BC
Issued 05/24/2017
Series 24 - General Securities Principal Examination
BC
Issued 01/13/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/31/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/28/2008
Series 3 - National Commodity Futures Examination
BC
Issued 06/09/2008
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/19/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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