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Mathew Edward Spencer

Saratoga Research & Investment Management

Saratoga, CA

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Current Employers
Saratoga Research & Investment Management

14471 Big Basin Way, Suite E, Saratoga, CA 95070 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2019-04-24
  • CA RA
    APPROVED
    Since 2019-04-24

Branch Locations

14471 Big Basin Way, Suite E, Saratoga, CA 95070 • 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
Jmp Securities Llc San Francisco CA 09/2014 03/2019
Saratoga Research And Investment Management Saratoga CA 04/2019 Present
  • 09/2014 → 03/2019
    Jmp Securities Llc
    San Francisco, CA
  • 04/2019 → Present
    Saratoga Research And Investment Management
    Saratoga, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-04-24
S63 Uniform Securities Agent State Law Examination 2015-06-26
  • S65 Uniform Investment Adviser Law Examination
    2019-04-24
  • S63 Uniform Securities Agent State Law Examination
    2015-06-26
Other Names
  • Mathew Spencer
  • Mat Spencer

View on SEC IAPD

Other Firms

TRANSAMERICA FINANCIAL ADVISORS, LLC
J.P. MORGAN SECURITIES LLC
WELLS FARGO CLEARING SERVICES, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
OSAIC WEALTH, INC.
BETTERWEALTH LLC
WHEELER FINANCIAL SERVICES, LLC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Other Investors

TSANKUEN WANG
Hui Yao Stacy Lu
YUEZUE JOANNA Price
YUH-JIUN CHEN
Frank A Gomez
Eugene Mendoza
NAVDEEP SINGH BRAR
Mark E. Manasco

Other Offices

TRANSAMERICA FINANCIAL ADVISORS, LLC · SARATOGA, CA
J.P. MORGAN SECURITIES LLC · SAN JOSE, CA
WELLS FARGO CLEARING SERVICES, LLC · SAN JOSE, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAN JOSE, CA
OSAIC WEALTH, INC. · SAN JOSE, CA
BETTERWEALTH LLC · SAN JOSE, CA
WHEELER FINANCIAL SERVICES, LLC · SAN JOSE, CA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Saratoga, CA

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