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Roxanne Marie Spencer

Stephens

Oakland, TN

Little Rock, AR

CRD 4728557

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Employer firm

Stephens CRD 3496

$18.0B regulatory AUM 170 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

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

Current Employers
Stephens

111 Center St, Little Rock, AR 72201 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2018-04-30
TX RA APPROVED 2018-04-27
  • TN RA
    APPROVED
    Since 2018-04-30
  • TX RA
    APPROVED
    Since 2018-04-27

Branch Locations

Oakland, TN • United States

111 Center Street, Little Rock, AR 72201 • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Germantown TN 05/2009 11/2016
Wells Fargo Clearing Services, Llc Germantown TN 11/2016 04/2018
Stephens Inc. Memphis TN 04/2018 05/2022
Stephens Inc. Memphis TN 05/2022 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Germantown, TN
  • 11/2016 → 04/2018
    Wells Fargo Clearing Services, Llc
    Germantown, TN
  • 04/2018 → 05/2022
    Stephens Inc.
    Memphis, TN
  • 05/2022 → Present
    Stephens Inc.
    Memphis, TN
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-02-17
  • S66 Uniform Combined State Law Examination
    2004-02-17

View on SEC IAPD

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