Spencer Rand, financial advisor Santa Monica CA

Spencer Rand

CRD Number: 6144205
Current Firm: Five Oceans Advisors

Spencer Rand (CRD# 6144205) is an Investment Advisor Representative working at Five Oceans Advisors in Santa Monica, CA and has over 11 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Five Oceans Advisors Santa Monica, CA Apr 2021 - Current 2
Universal Service Administrative Company Washington, DC Oct 2018 - Mar 2021 2
Lpl Financial, LLC Alexandria, VA Dec 2012 - Oct 2018 5
Monument Advisory Group, LLC Alexandria, VA Dec 2012 - Oct 2018 5
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Mar 2013
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Spencer D. Rand
Phone Number: (310) 507-9180
Registered State(s):
  • CA
Current Firm Details
Five Oceans Advisors
Firm's CRD Number: 308377
By the Numbers
  • Total Assets Under Management
    496
    MILLIONS
  • Total Number of Accounts
    571
    ACCOUNTS
  • Average Account Value
    $868,850
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

CA, TN, TX

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