Spencer Merrill Jones

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2022-07-07

CA RA
APPROVED

Since 2022-07-07

Branch Locations

Fresno, CA • United States

7461 N. First Street, Ste 104, Fresno, CA 93720 • 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

Organization	City	State	From	To
Lpl Financial, Llc	Fresno	CA	03/2022	Present
Citizens Business Bank	Fresno	CA	06/2014	03/2022

03/2022 → Present

Lpl Financial, Llc

Fresno, CA
06/2014 → 03/2022

Citizens Business Bank

Fresno, CA

Other Businesses

1. 9/8/2023: Valley Wealth Management, Inc.; At reported business locations; DBA for LPL Business (entity for LPL business); Inv. related; start date 3/28/2022; 40 hrs/mo.; 20 hrs. during trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-07-06

S66 Uniform Combined State Law Examination

2022-07-06

View on SEC IAPD