Philip SpencerCRD Number: 1883056
Current Firm: Family Investment Management LP
Philip Spencer (CRD# 1883056) is an Investment Advisor Representative working at Family Investment Management LP in Carlsbad, CA and has over 29 years of experience in the finance industry.
O'reilly Wealth Advisors
John P. Dubots Capital Management, LLC
Heyman Investment Counseling LLC
|Family Investment Management LP||Carlsbad, CA||Mar 2014 - Current||3|
|Lpl Financial Llc (formerly: Linsco/private Ledger Corp.)||Carlsbad, CA||Sep 2003 - Current||14|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1988|
|S65||NASAA Investment Advisors Law Examination||Jul 1992|
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, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
- Judgments / Liens
Total Assets Under Management25MILLIONS
Total Number of Accounts152ACCOUNTS
Average Account Value$162,458
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
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