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Inactive

Mary Carter Spencer

Usi Advisors

Greenwood Village, CO

Glastonbury, CT

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Current Employers
Usi Advisors

95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2023-07-19
  • CO RA
    APPROVED
    Since 2023-07-19

Branch Locations

6501 S. Fiddlers Green Circle #100, Greenwood Village, CO 80111 • United States

95 Glastonbury Blvd. Suite 102, Glastonbury, CT 06033 • 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 01/2017 02/2018
Wells Fargo Charlotte NC 09/2016 01/2017
Unemployed Charlotte NC 06/2016 09/2016
Dimensional Fund Advisors Charlotte NC 05/2018 08/2019
Ubs Financial Services Inc Boulder CO 10/2019 02/2023
Usi Consulting Group Glastonbury CT 06/2023 Present
Usi Advisors Glastonbury CT 06/2023 Present
Unemployed Denver CO 02/2023 06/2023
  • 01/2017 → 02/2018
    The Vanguard Group, Inc.
    Charlotte, NC
  • 09/2016 → 01/2017
    Wells Fargo
    Charlotte, NC
  • 06/2016 → 09/2016
    Unemployed
    Charlotte, NC
  • 05/2018 → 08/2019
    Dimensional Fund Advisors
    Charlotte, NC
  • 10/2019 → 02/2023
    Ubs Financial Services Inc
    Boulder, CO
  • 06/2023 → Present
    Usi Consulting Group
    Glastonbury, CT
  • 06/2023 → Present
    Usi Advisors
    Glastonbury, CT
  • 02/2023 → 06/2023
    Unemployed
    Denver, CO
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-11-18
S63 Uniform Securities Agent State Law Examination 2017-03-07
  • S66 Uniform Combined State Law Examination
    2021-11-18
  • S63 Uniform Securities Agent State Law Examination
    2017-03-07
Other Names
  • Mary C Spencer
  • Carter Spencer
  • Mary Spencer

View on SEC IAPD

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