Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Spencer is a financial professional with over 30 years of experience in the industry. William is currently registered with Marex Capital Markets Inc. in Alpharetta, Georgia. William has held several positions in the past, including with Cowen and Company, Cowen Prime Services LLC, and Convergex Prime Services LLC. William is a Series 7, Series 24, Series 63, Series 99TO, and SIE licensed representative. William is registered in 13 states including Connecticut, Florida, Georgia, Kansas, Maryland, Massachusetts, Minnesota, New York, North Carolina, Pennsylvania, Tennessee, Texas, and Virginia.
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.
1
2
GA
12/01/2023 - Present
Marex Capital Markets Inc. (Alpharetta GA)
GA
08/25/2021 - 12/12/2023
COWEN AND COMPANY (Alpharetta GA)
GA
08/14/2017 - 02/10/2022
COWEN PRIME SERVICES LLC (Alpharetta GA)
GA
07/24/2014 - 12/31/2017
COWEN EXECUTION SERVICES LLC (Alpharetta GA)
GA
09/07/2011 - 09/02/2014
CONVERGEX PRIME SERVICES LLC (ALPHARETTA GA)
GA
11/02/2009 - 08/05/2011
KNIGHT CAPITAL AMERICAS, L.P. (ATLANTA GA)
GA
08/17/2006 - 11/09/2009
NORTHPOINT TRADING PARTNERS, LLC (ALPHARETTA GA)
GA
01/02/2003 - 07/11/2006
TETON INVESTMENT PARTNERS, LLC (ATLANTA GA)
NY
08/13/2002 - 09/10/2002
BROADWAY TRADING, LLC (NEW YORK NY)
NC
04/14/1999 - 12/01/2000
JOPCO SECURITIES, LLC (HAYESVILLE NC)
NA
05/01/1985 - 08/02/1994
ALEX. BROWN & SONS INCORPORATED
BC
Issued 03/06/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
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