Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ty? Claim Your ProfileTy Spencer is a financial advisor registered with RBC Capital Markets, LLC, with offices in Kirkland, Washington. Ty has been a financial advisor since 1989, and is registered to provide investment advisory services in Texas and Washington. Ty is also registered with FINRA and holds the Series 6, 7, 31, and SIE licenses. Ty has been affiliated with a number of firms over the years, including Merrill Lynch, Pierce, Fenner & Smith Incorporated and WM Financial Services, Inc. Ty is a member of the Securities Industry Essentials Examination (SIE) and has been involved in a number of other business ventures.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
WA
01/04/2016 - Present
RBC Capital Markets, LLC (KIRKLAND WA)
WA
10/27/1998 - 01/06/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BELLEVUE WA)
CA
01/01/1992 - 10/28/1998
WM FINANCIAL SERVICES, INC. (IRVINE CA)
NJ
03/02/1989 - 10/16/1991
FIRST INVESTORS CORPORATION (EDISON NJ)
IA
Issued 12/09/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/06/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 04/12/1994
Series 7 - General Securities Representative Examination
BC
Issued 03/01/1989
Series 6 - Investment Company Products/Variable Contracts 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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Ty Spencer is the right advisor for you? Invested Better is here to help.
