Sean Randall Spencer

Current Employers

Employment History

• 05/2026 → Present
  Prime Capital Financial
  Overland Park, KS
• 07/2015 → 11/2023
  Truenorth, Inc./Ima Wealth, Inc.
  Wichita, KS
• 11/2023 → 05/2026
  Access Capital Llc
  Wichita, KS
• 11/2023 → 05/2026
  Pks Investments
  Albany, NY

Previous Registrations

• 2015-07-13 → 2023-07-20
  Ima Advisory Services, Inc.
  Wichita, KS
  Denver, CO
  Wichita, KS
• 2013-11-21 → 2015-07-13
  Lpl Financial Llc
  Wichita, KS
  Wichita, KS
• 2010-06-14 → 2011-12-16
  Ameriprise Financial Services, Llc
  Wichita, KS
• 2009-08-28 → 2010-02-16
  Northwestern Mutual Investment Services, Llc
  Wichita, KS

Other Businesses

1. The Croft, LLC, non-investment related, 10333 E 21st St N Ste 303, Wichita, KS 67206, LLC created for the purpose of developing/purchasing real estate, Partner/Owner, December 15, 2021, 2 hours per month during non-trading hours, as an owner, duties include participating in the research and development of real estate as well as in the purchase of real estate. 2. C&S Holdings, LLC, non-investment related, 7506 E Norfolk Cir, Wichita, KS 67206, LLC created as a Holding company for purpose of investing, May 17, 2021, no time is spent during the month on this activity, owner of LLC, duties will include researching and executing the purchase of other investment opportunities. 3. Prime Capital Investment Advisors, LLC is 100% owned by CHHSZ Holdings, LLC. Sean Spencer is a member of CHHSZ Holdings, LLC and as such is entitled to receive a share of the company’s profits. 4. PCRM, LLC doing business as Prime Capital Risk Management, investment-related, 6201 College Blvd., Suite #150, Overland Park, KS 66211, fixed-insuranceproducts, insurance agent, <5 hr/month, <5 hr per month during trading hours, sale and service of fixed-insurance products, including through non-affiliatInsurance Marketing Organizations (IMOs).

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-08-21
• S63 Uniform Securities Agent State Law Examination
  2009-05-06