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Detailed Report
Rebecca Susan Spencer
REBECCA SUSAN KIRBY, BECKY SUSAN NIELSEN, Rebecca Susan Nielsen
CRD#: 6574636
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 5314 River Run Drive
Suite 300
PROVO, UT 84604
Registration History
201620172018201920202021202220232024202520262 FIRMS2016 - 2018 (2 years)2 FIRMS2018 - 2023 (4 years)2 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
Utah 9/1/2023
IA
Utah 9/1/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
5314 River Run Drive Suite 300, PROVO, UT 84604
Registered with this firm since 9/1/2023
B
OSAIC WEALTH, INC. (CRD#:23131)
5314 River Run Drive Suite 300, PROVO, UT 84604
Registered with this firm since 9/1/2023
Previous Registration(s)
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IA
 12/21/2018 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) PROVO, UT
B
 12/21/2018 - 09/01/2023 SAGEPOINT FINANCIAL, INC. (CRD#:133763) PROVO, UT
IA
 04/13/2016 - 12/31/2018 NEXT FINANCIAL GROUP, INC. (CRD#:46214) PROVO, UT
B
 02/04/2016 - 12/31/2018 NEXT FINANCIAL GROUP, INC. (CRD#:46214) PROVO, UT
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.