Lance T Spencer

Current Employers

Prosper Private Wealth

4140 E Baseline Road Suite 101, Mesa, AZ 85206 • United States

Current Registrations

Authority	Category	Status	Date
UT	RA	APPROVED	2025-12-09

UT RA
APPROVED

Since 2025-12-09

Branch Locations

Provo, UT • United States

4140 E Baseline Road Suite 101, Mesa, AZ 85206 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Fidelity Investments	Chandler	AZ	09/2012	01/2021
Fidelity Personal And Workplace Advisors	Boston	MA	07/2018	01/2021
Summit Global Investments	Bountiful	UT	01/2021	12/2024
Prosper Private Wealth	Mesa	AZ	05/2025	Present
Unemployed	Mesa	AZ	01/2025	04/2025

09/2012 → 01/2021

Fidelity Investments

Chandler, AZ
07/2018 → 01/2021

Fidelity Personal And Workplace Advisors

Boston, MA
01/2021 → 12/2024

Summit Global Investments

Bountiful, UT
05/2025 → Present

Prosper Private Wealth

Mesa, AZ
01/2025 → 04/2025

Unemployed

Mesa, AZ

Previous Registrations

2021-03-02 → 2025-04-09

Summit Global Investments, Llc

Mesa, AZ

Bountiful, UT
2018-07-13 → 2020-11-10

Fidelity Personal And Workplace Advisors

Boston, MA
2012-11-20 → 2018-07-13

Strategic Advisers Llc

Chandler, AZ
2012-01-03 → 2012-10-01

Schwab Wealth Advisory, Inc.

Phoenix, AZ
2009-11-18 → 2011-12-31

Charles Schwab & Co., Inc.

Phoenix, AZ

Phoenix, AZ
2005-09-16 → 2009-01-27

Strategic Advisers Llc

Merrimack, NH

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-09-15
S63	Uniform Securities Agent State Law Examination	1989-09-11

S66 Uniform Combined State Law Examination

2005-09-15
S63 Uniform Securities Agent State Law Examination

1989-09-11

Designations

View on SEC IAPD