Spencer William Woolfolk

$10.8B regulatory AUM

Reported services (Item 5G)

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

1360 Post Oak Blvd. Suite 2200, Houston, TX 77056 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-04-15

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Rolling Meadows	IL	03/2019	02/2022
Credit Suisse	Raleigh	NC	01/2018	02/2019
Elon University	Elon	NC	08/2013	05/2017
Unemployed	Chicago	IL	06/2017	12/2017
Lpl Financial Llc	Chicago	IL	02/2022	04/2024
Bmo Harris Bank	Chicago	IL	02/2022	04/2024
Caz Investments	Houston	TX	04/2024	Present

03/2019 → 02/2022

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Rolling Meadows, IL
01/2018 → 02/2019

Credit Suisse

Raleigh, NC
08/2013 → 05/2017

Elon University

Elon, NC
06/2017 → 12/2017

Unemployed

Chicago, IL
02/2022 → 04/2024

Lpl Financial Llc

Chicago, IL
02/2022 → 04/2024

Bmo Harris Bank

Chicago, IL
04/2024 → Present

Caz Investments

Houston, TX

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-01-17

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