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SPENCER T PETT
SPENCER TAFT PETT
CRD#: 4955708
IA
B
MORGAN STANLEYCRD#: 149777 58 South River Drive
Suite 401
Tempe, AZ 85281
Suite 401
Tempe, AZ 85281
0
Disclosures
18
Years of Experience
View By:
State Registrations
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Alabama 8/10/2022
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Nebraska 8/10/2022
B
Alaska 9/6/2022
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Nevada 11/15/2022
B
Arizona 8/10/2022
B
New Hampshire 8/10/2022
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Arizona 9/19/2022
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New Jersey 8/10/2022
B
Arkansas 8/10/2022
B
New Mexico 8/10/2022
B
California 8/10/2022
B
New York 8/10/2022
B
Colorado 8/10/2022
B
North Carolina 9/5/2023
B
Connecticut 8/10/2022
B
North Dakota 8/10/2022
B
Delaware 8/10/2022
B
Ohio 8/10/2022
B
District of Columbia 8/10/2022
B
Oklahoma 8/10/2022
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Florida 8/10/2022
B
Oregon 9/7/2022
B
Georgia 8/10/2022
B
Pennsylvania 9/20/2022
B
Hawaii 8/10/2022
B
Puerto Rico 8/10/2022
B
Idaho 8/10/2022
B
Rhode Island 8/10/2022
B
Illinois 8/10/2022
B
South Carolina 8/10/2022
B
Indiana 8/10/2022
B
South Dakota 8/10/2022
B
Iowa 8/10/2022
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Tennessee 8/10/2022
B
Kansas 8/10/2022
B
Texas 8/10/2022
B
Kentucky 8/10/2022
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Texas 9/2/2022
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Louisiana 8/10/2022
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Utah 9/1/2022
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Maine 8/10/2022
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Vermont 8/10/2022
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Maryland 8/10/2022
B
Virgin Islands 8/10/2022
B
Massachusetts 9/8/2022
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Virginia 9/7/2022
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Michigan 8/10/2022
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Washington 8/10/2022
B
Minnesota 8/10/2022
B
West Virginia 9/26/2022
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Mississippi 8/10/2022
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Wisconsin 8/10/2022
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Missouri 8/10/2022
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Wyoming 8/10/2022
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Montana 8/10/2022
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 9/2/2022
B
Registered with this firm since 8/10/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/25/2022 - 09/05/2023 | Tempe, AZ | |
B | 07/21/2022 - 09/05/2023 | Tempe, AZ | |
IA | 12/14/2018 - 08/03/2022 | Phoenix, AZ | |
B | 12/14/2018 - 08/03/2022 | Phoenix, AZ | |
IA | 06/01/2009 - 10/15/2018 | SCOTTSDALE, AZ | |
B | 06/01/2009 - 10/15/2018 | SCOTTSDALE, AZ | |
IA | 04/29/2008 - 06/01/2009 | SCOTTSDALE, AZ | |
B | 04/02/2007 - 06/01/2009 | SCOTTSDALE, AZ | |
B | 10/04/2006 - 04/02/2007 | WEST VALLEY CITY, UT |
For additional information about investment advisers or broker-dealers, please visit
B
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.