Yancy Dwayne Spivey

Current Employers

Employment History

• 07/2012 → 07/2017
  Edward Jones
  St Louis, MO
• 07/2017 → 10/2018
  Wells Fargo Advisors Financial Network, Llc
  Duncan, OK
• 10/2018 → 04/2022
  First Financial Equity Corporation
  Duncan, OK
• 04/2022 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 08/2017 → Present
  Ys Asset Management Llc
  Duncan, OK
• 10/2017 → Present
  Ys Integration Llc
  Duncan, OK
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2018-10-18 → 2022-04-20
  Ffec Wealth Partners Llc
  Duncan, OK
  Addison, TX
  Scottsdale, AZ
• 2017-07-28 → 2018-11-15
  Wells Fargo Advisors Financial Network, Llc
  Duncan, OK
• 2012-08-03 → 2017-08-01
  Edward Jones
  Duncan, OK
  St Louis, MO
  Flower Mound, TX
  Duncan, OK
• 2008-02-07 → 2012-04-16
  Arvest Wealth Management
  Duncan, OK
  Ada, OK

Other Businesses

1. NAME OF OTHER BUSINESS: SPIVEY REAL ESTATE INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: REAL ESTATE START DATE: 5/2015 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: REAL ESTATE RENTAL PROPERTIES MANAGEMENT; 2. NAME OF OTHER BUSINESS: YS ASSET MANAGEMENT, LLC; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 8/2017, POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 3. NAME OF OTHER BUSINESS: MP3 AVIATION INVESTMENT RELATED: NO ADDRESS: PO BOX 266, DUNCAN, OK 73534 NATURE OF BUSINESS: AIRCRAFT OWNERSHIP START DATE: 10/2016 POSITION/TITLE/RELATIONSHIP: MANAGING MEMBER LLC APX NUMBER OF HOURS PER WEEK: 5 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: PERSONAL OWNER OF AIRCRAFT; 4. NAME OF OTHER BUSINESS: YS INTEGRATION LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ANCILLARY PURPOSE TO YS ASSET MANAGEMENT AS A CONSULTANT TO NON-INVESTMENT CLIENT 3RD PARTY ADMINISTRATORS START DATE: 10/2017 POSITION/TITLE/RELATIONSHIP: MANAGING MEMBER LLC APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: VEHICLE SERVICE CONTRACTING IMPLEMENTATION INTON NON-INVESTMENT CLIENT AUTO DEALERSHIPS; 5. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 6/2022 APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 4; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE; 6. NAME OF OTHER BUSINESS: FFEC WEALTH PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 4/2022; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; 7. NAME OF OTHER BUSINESS: ATARAXIA INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT START DATE: 1/2021 APX NUMBER OF HOURS PER WEEK: 10 APX NUMBER OF HOURS DURING TRADING HOURS: 10 BRIEF DESCRIPTION OF DUTIES: INSURANCE AGENT; 8. NAME OF OTHER BUSINESS: NOTARY PUBLIC COMMISSION; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: NOTARIZING DOCUMENTS ; START DATE: 12/2019; POSITION/TITLE/RELATIONSHIP: NOTARY ; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: NOTARIZING DOCUMENTS ;

Exams

• S66 Uniform Combined State Law Examination
  2008-02-05

Other Names

• Yancy Dwayne Spivey