Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Thomas Spencer is a financial professional with over 35 years of experience in the securities industry. William is currently registered with LPL Financial LLC. William has held previous positions at People's Securities, Inc., Capital One Investing, LLC, First Republic Securities Company, LLC, J.P. Morgan Securities LLC, Capital One Investment Services LLC, Greenpoint Securities LLC, Essex National Securities, Inc., Rafferty Capital Markets, LLC, Concord Brokerage Services, Inc., Bisys Brokerage Services, Inc., Charles Schwab & Co., Inc., Dollar Dry Dock Investment Services, Inc., Murphey Favre, Inc., and Thomson McKinnon Securities Inc. William is a Registered Representative, Investment Advisor Representative, and holds Series 3, 7, 10, 24, 63, 65, and 66 securities licenses. William is a Registered Principal and General Securities Principal for LPL Financial LLC.
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.
Consulting and other non-discretionary advisory services
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.
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2
NY
03/17/2023 - Present
LPL Financial LLC (HAUPPAUGE NY)
CT
06/21/2017 - 09/07/2022
PEOPLE'S SECURITIES, INC. (BRIDGEPORT CT)
NY
06/06/2016 - 05/01/2017
CAPITAL ONE INVESTING, LLC (CEDARHURST NY)
NY
02/18/2015 - 09/02/2015
FIRST REPUBLIC SECURITIES COMPANY, LLC (GARDEN CITY NY)
NY
03/30/2011 - 02/10/2015
J.P. MORGAN SECURITIES LLC (MELVILLE NY)
NY
01/03/2005 - 02/17/2011
CAPITAL ONE INVESTMENT SERVICES LLC (MELVILLE NY)
NY
12/09/2003 - 01/03/2005
GREENPOINT SECURITIES LLC (LAKE SUCCESS NY)
CA
07/19/2001 - 01/05/2004
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
NY
12/01/1999 - 06/26/2001
RAFFERTY CAPITAL MARKETS, LLC (GARDEN CITY NY)
MA
09/18/1996 - 11/09/1999
CONCORD BROKERAGE SERVICES, INC. (BOSTON MA)
MN
01/10/1994 - 11/09/1999
BISYS BROKERAGE SERVICES, INC. (ST. CLOUD MN)
TX
03/26/1991 - 12/06/1993
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NA
10/16/1990 - 03/14/1991
DOLLAR DRY DOCK INVESTMENT SERVICES, INC.
CA
11/15/1988 - 10/24/1990
MURPHEY FAVRE, INC. (IRVINE CA)
NA
03/28/1985 - 11/22/1988
THOMSON MCKINNON SECURITIES INC.
NA
07/26/1984 - 11/06/1984
FAHNESTOCK & CO.
IA
Issued 03/10/2015
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 05/22/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/01/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/05/2003
Series 24 - General Securities Principal Examination
BC
Issued 11/30/1992
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/12/1986
Series 3 - National Commodity Futures Examination
BC
Issued 07/21/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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