Bruce SpencerCRD Number: 3174379
Current Firm: Suntrust Investment Services, Inc.
Bruce Spencer (CRD# 3174379) is an Investment Advisor Representative working at Suntrust Investment Services, Inc. in Charlotte, NC and has over 18 years of experience in the finance industry. Bruce Spencer has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Prospera Financial Services, Inc.
Dalton Financial LLC
M Holdings Securities, Inc.
|Suntrust Investment Services, Inc.||Atlanta, GA||Jun 2013 - Current||4|
|Tiaa-cref Individual & Institutional Services, LLC||Charlotte, NC||Sep 2006 - May 2013||6|
|Tiaa||Charlotte, NC||Sep 2006 - May 2013||6|
|Vanguard Marketing Corporation||Malvern, PA||Dec 1998 - Sep 2006||7|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1999|
|S65||NASAA Investment Advisors Law Examination||Jan 2005|
Total Assets Under Management10,443MILLIONS
Total Number of Accounts26,841ACCOUNTS
Average Account Value$389,077
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV