Sarah Spence, financial advisor Chandler AZ
90 score

Sarah Spence

CRD Number: 6050523
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Sarah Spence (CRD# 6050523) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Chandler, AZ and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lincoln, RI Jul 2014 - Current 2
Pnc Orrville, OH Sep 2013 - Jun 2014 < 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Jacksonville, FL Mar 2012 - Aug 2013 1
The Pier Jacksonville, FL Mar 2011 - Sep 2012 1
Miller's Ale House Jacksonville, FL Feb 2010 - Mar 2011 1
Florida Coastal School Of Law Jacksonville, FL Aug 2009 - Feb 2010 < 1
Gulf Coast Legal Services Sarasota, FL May 2009 - Aug 2009 < 1
Compassionate Families Jacksonville, FL Jan 2009 - May 2009 < 1
Jala Jacksonville, FL Sep 2008 - Jan 2009 < 1
Jojo's Medina, OH May 2008 - Sep 2008 < 1
Rosemont Country Club Montrose, OH May 2008 - Aug 2008 < 1
Florida Coastal School Of Law Jacksonville, FL Aug 2007 - May 2008 < 1
Olive Garden Montrose, OH Aug 2006 - Aug 2007 1
Rosemont Country Club Montrose, OH Aug 2005 - Jul 2007 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Apr 2013
Contact Info for Sarah M. Spence
Phone Number: 800-637-7455
Registered State(s):
  • RI
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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