• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Spencer William Woolfolk
Spencer Woolfolk
CRD#: 6634383
IA
Investment Adviser
B
Previous Broker
CAZ INVESTMENTS L.P.CRD#: 113931 ONE RIVERWAY
SUITE 2000
HOUSTON, TX 77056
Registration History
201920202021202220232024202520262 FIRMS2022 - 2023 (1 year)IACAZ INVESTMENTS L.P. (CRD# 113931)2024 - Present (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2019 - 2021 (2 years)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2020 - 2021 (1 year)
License(s)

State Registrations

IA
Texas 4/15/2024

Current Registration(s)
IA
CAZ INVESTMENTS L.P. (CRD#:113931)
ONE RIVERWAY SUITE 2000, HOUSTON, TX 77056
Registered with this firm since 4/15/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
02/17/2022 - 03/20/2023 LPL FINANCIAL LLC (CRD#:6413) CHICAGO, IL
B
02/17/2022 - 03/20/2023 LPL FINANCIAL LLC (CRD#:6413) CHICAGO, IL
IA
01/21/2020 - 11/15/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ROLLING MEADOWS, IL
B
11/11/2019 - 11/15/2021 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) ROLLING MEADOWS, IL
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
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.