David Spence, financial advisor Bloomfield Hills MI
93 score

David Spence

CRD Number: 3005383
Current Firm: New York Life Investment Management LLC

David Spence (CRD# 3005383) is an Investment Advisor Representative working at New York Life Investment Management LLC in Bloomfield Hills, MI and has over 20 years of experience in the finance industry.

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Company Name Location Dates Years
New York Life Insurance Company Bloomfield Hills, MI Dec 2010 - Current 7
Putnam Retail Management Boston, MA Feb 2009 - Dec 2010 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 Farmington Hills, MI Mar 2005 - Feb 2009 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1998
S66 NASAA Uniform Combined State Law Examination Nov 2004
Contact Info for David L. Spence
Phone Number: 212-576-7000
Registered State(s):
  • MI
By the Numbers
  • Total Assets Under Management
    93,723
    MILLIONS
  • Total Number of Accounts
    1,240
    ACCOUNTS
  • Average Account Value
    $75,582,981
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
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
93
Clean Record
This advisor has a clean track record with regulators.

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