Philip Michael Spencer

Current Employers

Family Investment Management L.P.

Carlsbad, CA • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-02-22
CA	RA	APPROVED	2014-05-20

TX RA
APPROVED_RES

Since 2018-02-22
CA RA
APPROVED

Since 2014-05-20

Branch Locations

Carlsbad, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc (Formerly: Linsco/Private Ledger Corp.)	Carlsbad	CA	09/2003	Present
Family Investment Management L.P.	Carlsbad	CA	03/2014	Present

09/2003 → Present

Lpl Financial Llc (Formerly: Linsco/Private Ledger Corp.)

Carlsbad, CA
03/2014 → Present

Family Investment Management L.P.

Carlsbad, CA

Previous Registrations

2000-05-24 → 2003-10-02

Ubs Financial Services Inc.

Carlsbad, CA

Other Businesses

(1) 01/30/2012: FAMILY INVESTMENT MANAGEMENT, LP - 2888 LOKER AVE E STE 317, CARLSBAD, CA 92010 - NON-VARIABLE INSURANCE DBA: FAMILY INVESTMENT MANAGEMENT, LP (2) 03/03/2015: FAMILY INVESTMENT MANAGEMENT L P - INV REL - 2888 LOKER AVE E. STE 317, CARLSBAD , CA 92010 - REGISTERED INVESTMENT ADVISOR HYBRID - START 08/14/2014 - 20 HR/MO ALL DURING SECS TRDG HRS - HOURLY OR FIXED FEE PLANNING SERVICE

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-07-20
S63	Uniform Securities Agent State Law Examination	1988-11-23

S65 Uniform Investment Adviser Law Examination

1992-07-20
S63 Uniform Securities Agent State Law Examination

1988-11-23

View on SEC IAPD