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Kevin Dion Spence
KEVIN DION SPENCE, Kevin Spence
CRD#: 3172600
IA
Investment Adviser
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Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 8500 ANDREW CARNEGIE BLVD.
CHARLOTTE HUB
CHARLOTTE, NC 28262
Registration History
20002002200420062008201020122014201620182020202220242 FIRMS2008 - 2010 (2 years)2 FIRMS2010 - 2015 (5 years)2 FIRMS2018 - 2020 (2 years)2 FIRMS2020 - Present (4 years)BHSBC SECURITIES (USA) INC. (CRD# 19585)2016 - 2018 (2 years)BWACHOVIA SECURITIES, LLC (CRD# 19616)2004 - 2008 (3 years)BFIRST CLEARING, LLC (CRD# 17344)2001 - 2004 (3 years)BSALOMON SMITH BARNEY INC. (CRD# 7059)2000 - 2001 (<1 year)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2005 - 2008 (3 years)IAWACHOVIA SECURITIES, LLC (CRD# 19616)2004 - 2004 (<1 year)
License(s)

State Registrations

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North Carolina 12/3/2020

IA
North Carolina 7/12/2022

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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ADVICE AND PLANNING SERVICES (CRD#:20472)
8500 ANDREW CARNEGIE BLVD. CHARLOTTE HUB, CHARLOTTE, NC 28262
Concord, NC
Registered with this firm since 12/3/2020

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TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
8500 ANDREW CARNEGIE BLVD. CHARLOTTE HUB, CHARLOTTE, NC 28262
Concord, NC
Registered with this firm since 12/3/2020

Previous Registration(s)
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02/09/2018 - 11/02/2020 CARY STREET PARTNERS (CRD#:128545) RICHMOND, VA
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01/16/2018 - 11/02/2020 CARY STREET PARTNERS (CRD#:128089) RICHMOND, VA
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01/13/2016 - 01/30/2018 HSBC SECURITIES (USA) INC. (CRD#:19585) NEW YORK CITY, NY
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12/14/2010 - 12/07/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) CHARLOTTE, NC
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12/14/2010 - 12/07/2015 WELLS FARGO ADVISORS, LLC (CRD#:19616) CHARLOTTE, NC
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05/22/2008 - 12/23/2010 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) ST. LOUIS, MO
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05/22/2008 - 12/23/2010 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) ST. LOUIS, MO
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01/04/2005 - 05/22/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) GLEN ALLEN, VA
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07/06/2004 - 05/22/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) ST. LOUIS, MO
IA
07/06/2004 - 12/31/2004 WACHOVIA SECURITIES, LLC (CRD#:19616) GLEN ALLEN, VA
B
01/29/2001 - 07/06/2004 FIRST CLEARING, LLC (CRD#:17344) ST. LOUIS, MO
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04/27/2000 - 01/17/2001 SALOMON SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
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Broker
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Investment Adviser
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.