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Spencer Norman Phillips
SPENCER NORMAN PHILLIPS, Spencer N Phillips
CRD#: 7026151
IA
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SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 9800 Schwab Way
LONE TREE, CO 80124
LONE TREE, CO 80124
CHARLES SCHWAB & CO., INC.CRD#: 5393 9800 Schwab Way
Lone Tree, CO 80124
Lone Tree, CO 80124
0
Disclosures
6
Years of Experience
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State Registrations
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Alabama 1/26/2022
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Montana 1/26/2022
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Alaska 2/8/2022
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Nebraska 2/4/2022
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Arizona 1/26/2022
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Nevada 6/30/2022
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Arkansas 1/26/2022
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New Hampshire 1/26/2022
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California 1/26/2022
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New Jersey 1/26/2022
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Colorado 1/26/2022
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New Mexico 1/26/2022
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Colorado 1/17/2023
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New York 1/26/2022
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Connecticut 1/26/2022
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North Carolina 6/30/2022
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Delaware 1/26/2022
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North Dakota 1/26/2022
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District of Columbia 1/26/2022
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Ohio 1/26/2022
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Florida 1/26/2022
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Oklahoma 1/26/2022
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Georgia 1/26/2022
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Oregon 3/2/2022
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Hawaii 1/26/2022
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Pennsylvania 3/2/2022
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Idaho 1/26/2022
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Puerto Rico 1/26/2022
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Illinois 1/26/2022
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Rhode Island 1/26/2022
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Indiana 2/9/2022
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South Carolina 1/26/2022
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Iowa 1/26/2022
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South Dakota 1/26/2022
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Kansas 1/26/2022
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Tennessee 1/26/2022
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Kentucky 1/26/2022
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Texas 1/26/2022
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Louisiana 1/26/2022
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Utah 1/31/2022
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Maine 1/26/2022
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Vermont 1/26/2022
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Maryland 1/26/2022
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Virgin Islands 1/26/2022
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Massachusetts 2/28/2022
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Virginia 2/28/2022
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Michigan 1/26/2022
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Washington 1/26/2022
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Minnesota 1/26/2022
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West Virginia 3/14/2022
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Mississippi 1/26/2022
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Wisconsin 1/26/2022
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Missouri 1/26/2022
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Wyoming 1/26/2022
SRO Registrations
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Registered with this firm since 1/17/2023
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Registered with this firm since 1/26/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/26/2022 - 12/26/2023 | Omaha, NE | |
IA | 08/13/2021 - 09/15/2022 | ST. LOUIS, MO | |
IA | 06/22/2021 - 09/15/2022 | St Louis, MO | |
B | 01/28/2019 - 09/15/2022 | ALBUQUERQUE, NM |
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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.
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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.
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