David Earl Spencer

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2022-09-01
TX	RA	APPROVED	2022-09-01

CA RA
APPROVED

Since 2022-09-01
TX RA
APPROVED

Since 2022-09-01

Branch Locations

1255 Treat Blvd, Suite 100, Walnut Creek, CA 94597 • 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
Merrill Lynch	Oakland	CA	08/2007	09/2022
Bank Of America,Na	Oakland	CA	09/2009	09/2022
Lpl Financial Llc	Oackland	CA	09/2022	Present

08/2007 → 09/2022

Merrill Lynch

Oakland, CA
09/2009 → 09/2022

Bank Of America,Na

Oakland, CA
09/2022 → Present

Lpl Financial Llc

Oackland, CA

Previous Registrations

2008-04-07 → 2022-09-02

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Oakland, CA

Other Businesses

1) 8/2022- Broadway Endeavor, LLC - Real Estate Rental- property owner/manager- inv. related- 2535 E 29th st. Oakland, CA 94602- start date 8/2021- 4hrs/mth

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-04-03

S66 Uniform Combined State Law Examination

2008-04-03

Designations

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Designations

Other Firms

Other Investors

Other Offices

Reviews