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Walter Morgan Spencer

Charles Schwab & Co., Inc.

Chapel Hill, NC

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2025-04-18
  • NC RA
    APPROVED
    Since 2025-04-18

Branch Locations

1108 Environ Way, Chapel Hill, NC 27517-4418 • 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
The Vanguard Group, Inc. Charlotte NC 08/2014 02/2019
Charles Schwab & Co., Inc. Chapel Hill NC 04/2025 Present
Unemployed Holly Springs NC 12/2024 04/2025
Lpl Financial Fort Mill SC 02/2019 12/2024
Charles Schwab Bank Chapel Hill NC 12/2014 Present
  • 08/2014 → 02/2019
    The Vanguard Group, Inc.
    Charlotte, NC
  • 04/2025 → Present
    Charles Schwab & Co., Inc.
    Chapel Hill, NC
  • 12/2024 → 04/2025
    Unemployed
    Holly Springs, NC
  • 02/2019 → 12/2024
    Lpl Financial
    Fort Mill, SC
  • 12/2014 → Present
    Charles Schwab Bank
    Chapel Hill, NC
Previous Registrations
Other Businesses

1) Walter Spencer equipment sales | Investment Related:No|Wholesale Trade/Import-Export|Sales|6/1/2026|Less than 20|0|Industrial equipment sales

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-05-08
S63 Uniform Securities Agent State Law Examination 2008-09-25
  • S66 Uniform Combined State Law Examination
    2025-05-08
  • S63 Uniform Securities Agent State Law Examination
    2008-09-25
Designations
Other Names
  • W Morgan Spencer

View on SEC IAPD

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Other Offices

FRANKLIN STREET ADVISORS INC. · CHAPEL HILL, NC
ABSHER WEALTH MANAGEMENT, LLC · CHAPEL HILL, NC
FRANKLIN STREET ADVISORS INC. · CHAPEL HILL, NC
RBC CAPITAL MARKETS, LLC · Chapel Hill, NC
TRUIST ADVISORY SERVICES, INC. · CHAPEL HILL, NC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CHAPEL HILL, NC
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CHAPEL HILL, NC
ROBERT W. BAIRD & CO. INCORPORATED · Chapel Hill, NC

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