Alan Spencer

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/1988 → 09/2025
  Avantax Investment Services, Inc.
  Plano, TX
• 07/2009 → 09/2025
  Avantax Advisory Services
  Plano, TX
• 04/2013 → 09/2025
  Avantax Insurance Services, Llc
  Plano, TX
• 12/2005 → Present
  Alan Spencer & Associates Pc
  Plano, TX
• 05/1989 → 09/2025
  Avantax Insurance Agency And/Or Avantax Insurance Services.
  Allen, TX
• 09/2025 → Present
  Cetera Wealth Services, Llc
  Allen, TX
• 09/2025 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2009-07-15 → 2025-09-05
  Avantax Advisory Services
  Allen, TX

Other Businesses

1) ALAN SPENCER & ASSOCIATES, PC POSITION: Owner/Sole Proprietor NATURE: Tax Preparation/Accounting INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 100 START DATE: 12/01/2005 ADDRESS: 651 NORTH WATTERS ROAD UNIT #7307, ALLEN TX 75013, United States DESCRIPTION: full name: Alan Spencer & Associates, PC

Exams

• S63 Uniform Securities Agent State Law Examination
  1988-11-11

Designations

• Certified Financial Planner
• Personal Financial Specialist