Spencer Paul Moody

$345B regulatory AUM 89,430 advisory clients

Reported services (Item 5G)

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

100 Vanguard Blvd, Malvern, PA 19355 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2023-11-16
UT	RA	APPROVED	2023-06-15
NC	RA	APPROVED	2021-07-27
TX	RA	APPROVED	2021-07-27

Branch Locations

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

Organization	City	State	From	To
American Income Life - Quintero And Partners	Coral Gables	FL	07/2019	01/2020
Bankers Life	Miami	FL	11/2017	06/2019
Self	Miami Beach	FL	09/2016	11/2017
Northwestern Mutual Life Insurance Company	Miami	FL	02/2020	12/2020
Northwestern Mutual Investment Services Llc	Miami	FL	11/2020	12/2020
The Vanguard Group, Inc.	Charlotte	NC	06/2021	Present
Unemployed	Miami	FL	01/2021	06/2021
Vanguard Marketing Corporation	Charlotte	NC	06/2021	Present
Vanguard Advisers, Inc.	Charlotte	NC	06/2021	Present

07/2019 → 01/2020

American Income Life - Quintero And Partners

Coral Gables, FL
11/2017 → 06/2019

Bankers Life

Miami, FL
09/2016 → 11/2017

Self

Miami Beach, FL
02/2020 → 12/2020

Northwestern Mutual Life Insurance Company

Miami, FL
11/2020 → 12/2020

Northwestern Mutual Investment Services Llc

Miami, FL
06/2021 → Present

The Vanguard Group, Inc.

Charlotte, NC
01/2021 → 06/2021

Unemployed

Miami, FL
06/2021 → Present

Vanguard Marketing Corporation

Charlotte, NC
06/2021 → Present

Vanguard Advisers, Inc.

Charlotte, NC

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-03-08