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Detailed Report
MICHAEL HOWARD SPENCER
CRD#: 1259884
IA
Investment Adviser
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Previous Broker
TUCKER ASSET MANAGEMENT LLCCRD#: 174844 4638 Haygood Road
Suite A
Virginia Beach, VA 23455
Registration History
1985199019952000200520102015202020253 FIRMS1986 - 1988 (2 years)2 FIRMS2006 - 2018 (12 years)IATUCKER ASSET MANAGEMENT LLC (CRD# 174844)2022 - Present (2 years)BWOODBURY FINANCIAL SERVICES, INC. (CRD# 421)1992 - 2006 (13 years)BROYAL ALLIANCE ASSOCIATES, INC. (CRD# 23131)1989 - 1992 (2 years)BINTEGRATED RESOURCES EQUITY CO... (CRD# 6403)1984 - 1989 (5 years)BLIFE OF VIRGINIA SECURITY SALE... (CRD# 14363)1984 - 1984 (<1 year)IAALPHASTAR CAPITAL MANAGEMENT, LLC (CRD# 157423)2018 - 2022 (3 years)IAWOODBURY FINANCIAL SERVICES, INC. (CRD# 421)2003 - 2006 (2 years)
Disclosure(s)
View By:
12/22/2004
Customer Dispute
Settled
5/24/1999
Customer Dispute
Settled
License(s)

State Registrations

IA
Virginia 10/3/2022
Current Registration(s)
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TUCKER ASSET MANAGEMENT LLC (CRD#:174844)
4638 Haygood Road Suite A, Virginia Beach, VA 23455
Registered with this firm since 10/3/2022
Previous Registration(s)
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 10/12/2018 - 09/30/2022 ALPHASTAR CAPITAL MANAGEMENT, LLC (CRD#:157423) Virginia Beach, VA
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 09/13/2006 - 10/12/2018 SPC (CRD#:110692) VIRGINIA BEACH, VA
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 06/01/2006 - 10/12/2018 PARKLAND SECURITIES, LLC (CRD#:115368) VIRGINIA BEACH, VA
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 07/31/2003 - 06/02/2006 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) VIRGINIA BEACH, VA
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 08/07/1992 - 06/02/2006 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) VIRGINIA BEACH, VA
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 11/19/1989 - 08/11/1992 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) SCOTTSDALE, AZ
B
 08/16/1984 - 11/19/1989 INTEGRATED RESOURCES EQUITY CORPORATION (CRD#:6403)
B
 06/25/1986 - 12/19/1988 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978)
B
 06/25/1986 - 12/19/1988 THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (CRD#:2580)
B
 06/24/1986 - 12/19/1988 LINCOLN NATIONAL PENSION INSURANCE COMPANY (CRD#:10293)
B
 04/19/1984 - 09/11/1984 LIFE OF VIRGINIA SECURITY SALES, LTD. (CRD#:14363)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.