Kevin Michael Spencer

CRD 1411811 · Charles Schwab & Co., Inc. · Chicago, IL

IA RegisteredBroker

Also appears in the source record as: Kevin M Spencer

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 52TOSIESeries 7Series 10Series 9Series 24Series 53Series 66Series 63
Registered states (45): Alabama · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 35
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (11)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Chicago, IL · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Red Bank, NJ · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Chicago, IL · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Red Bank, NJ · IA capacity

start not retrieved → present
First Montauk Securities Corp.
Red Bank, NJ · BC capacity

Jun 20, 1995 → Jun 15, 2007
First Institutional Securities Corp.
West Paterson, NJ · BC capacity

May 30, 1995 → Jun 14, 1995
Smith Barney Shearson Inc.
New York, NY · BC capacity

Sep 24, 1993 → May 23, 1994
Westpac Pollock Government Securities Inc.
BC capacity

Oct 28, 1988 → May 26, 1989
L. F. Rothschild & Co. Incorporated
BC capacity

Dec 2, 1986 → Sep 28, 1988
L.F. Rothschild Mortgage Capital Corporation
BC capacity

Jul 25, 1987 → Jul 19, 1988
E. F. Hutton & Company Inc
BC capacity

Jan 23, 1986 → Jan 21, 1987

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 1411811 ↗ FINRA BrokerCheck record for CRD 1411811 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.