Alan Spencer, financial advisor Plano TX
86 score

Alan Spencer

CRD Number: 1893795
Current Firm: H.d. Vest Advisory Services, Inc.

Alan Spencer (CRD# 1893795) is an Investment Advisor Representative working at H.d. Vest Advisory Services, Inc. in Plano, TX and has over 28 years of experience in the finance industry. Alan 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.

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Professional Designations
Company Name Location Dates Years
Hd Vest Insurance Agency Irving, TX Apr 2013 - Current 3
H.d.vest Advisory Services Plano, TX Jul 2009 - Current 7
H.d. Vest Investment Services Plano, TX Oct 1988 - Current 28
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1988
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, 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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Alan Spencer
Phone Number: 972-870-6000
Firm Website: https://www.hdvest.com
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    9,187
    MILLIONS
  • Total Number of Accounts
    50,531
    ACCOUNTS
  • Average Account Value
    $181,805
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

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, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
86

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