Courtenay Tamia Spencer

CRD 6254280 · Wells Fargo Advisors · Charlotte, NC

IA RegisteredBroker

Also appears in the source record as: Courtenay T Spencer; Courtenay Tamia Spencer-Dawkins

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 52TOSIESeries 7Series 53Series 4Series 24Series 65Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 11
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: Wells Fargo Advisors
Firm CRD: 11025
SEC number: 801-57434
Assets under management: $252.3B as of Jun 3, 2026
Website: stories.wf.com ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (12)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Charlotte, NC · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Charlotte, NC · BC capacity

start not retrieved → present
Wells Fargo Advisors Financial Network, LLCCurrent
Charlotte, NC · BC capacity

start not retrieved → present
Principal Securities, Inc.
Matthews, NC · IA capacity

Aug 22, 2022 → Jun 29, 2023
Principal Securities, Inc.
Des Moines, IA · BC capacity

Aug 19, 2022 → Jun 29, 2023
Lpl Financial LLC
Fort Mill, SC · IA capacity

Sep 28, 2021 → Jul 14, 2022
Lpl Financial LLC
Fort Mill, SC · BC capacity

Sep 28, 2021 → Jul 14, 2022
Wells Fargo Clearing Services, LLC
Fort Mill, SC · IA capacity

Feb 26, 2020 → Aug 23, 2021
Mml Investors Services, LLC
Charlotte, NC · BC capacity

May 12, 2017 → Aug 16, 2017
Metlife Investors Distribution Company
Charlotte, NC · BC capacity

Jun 30, 2015 → Sep 22, 2016
Metlife Securities, Inc
Charlotte, NC · BC capacity

Apr 24, 2015 → Jun 30, 2016
Vanguard Marketing Corporation
Charlotte, NC · BC capacity

Oct 29, 2013 → Apr 20, 2015

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 6254280 ↗ FINRA BrokerCheck record for CRD 6254280 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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