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Inactive

Spencer William Woolfolk

Caz Investments L.P.

Houston, TX

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Current Employers
Caz Investments L.P.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-04-15
  • TX RA
    APPROVED
    Since 2024-04-15

Branch Locations

1360 Post Oak Blvd. Suite 2200, Houston, TX 77056 • 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
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
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-01-17
  • S66 Uniform Combined State Law Examination
    2020-01-17
Other Names
  • Spencer Woolfolk

View on SEC IAPD

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Other Offices

BRIDGE CAPITAL ADVISORS · HOUSTON, TX
TSA WEALTH MANAGEMENT · HOUSTON, TX
PEREA CAPITAL · HOUSTON, TX
TRI-STAR ADVISORS, INC. · HOUSTON, TX
HORNOR, TOWNSEND & KENT, LLC · Houston, TX
AMERIPRISE FINANCIAL SERVICES, LLC · Houston, TX
LPL FINANCIAL LLC · HOUSTON, TX
MARINER INDEPENDENT · Houston, TX

More in Houston, TX

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