Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Alexander Spencer has been in the financial services industry since 1999. Currently, William is registered with Athene Securities, LLC in Iowa. Previously, William was employed with SWBC Investment Services, LLC, CUNA Brokerage Services, Inc., Guaranty Brokerage Services, Inc., Capital Brokerage Corporation and Edward Jones. William holds the Series 7, Series 24, Series 63, and Series 65 licenses.
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
IA
02/12/2019 - Present
Athene Securities, LLC (WEST DES MOINES IA)
TX
09/29/2016 - 10/12/2018
SWBC INVESTMENT SERVICES, LLC (SAN ANTONIO TX)
IA
01/19/2012 - 10/06/2016
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
IA
06/09/2009 - 01/18/2012
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
TX
07/30/2001 - 05/08/2008
GUARANTY BROKERAGE SERVICES, INC. (SAN ANTONIO TX)
VA
01/05/2001 - 07/30/2001
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
MO
10/26/1999 - 12/01/2000
EDWARD JONES (ST. LOUIS MO)
IA
Issued 09/09/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/28/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/13/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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