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Samuel Dinwiddie Spencer

Charles Schwab & Co., Inc.

Lone Tree, CO

CRD 7543276

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

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

Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2024-10-04
TX RA APPROVED 2024-09-25
FL RA APPROVED 2024-01-03
  • CO RA
    APPROVED
    Since 2024-10-04
  • TX RA
    APPROVED
    Since 2024-09-25
  • FL RA
    APPROVED
    Since 2024-01-03

Branch Locations

9800 Schwab Way, Lone Tree, CO 80124 • 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
Chick-Fil-A Louisville KY 06/2019 09/2023
Murray State University Disabi Murray KY 08/2021 12/2022
The Price Group Louisville KY 06/2020 08/2020
Independent Business Owner Prospect KY 06/2016 05/2019
Hillcrest Community Pool Prospect KY 05/2018 09/2018
Sdh Education East, Llc Aka Sodexo Chick-Fil-A Murray KY 10/2019 05/2021
Kroger Cincinnati OH 03/2019 05/2019
Full Time Education Goshen KY 08/2015 05/2019
Full Time Education Murray KY 08/2019 05/2023
Charles Schwab & Co., Inc. Lone Tree CO 09/2023 Present
Charles Schwab Bank, Ssb Lone Tree CO 09/2024 Present
  • 06/2019 → 09/2023
    Chick-Fil-A
    Louisville, KY
  • 08/2021 → 12/2022
    Murray State University Disabi
    Murray, KY
  • 06/2020 → 08/2020
    The Price Group
    Louisville, KY
  • 06/2016 → 05/2019
    Independent Business Owner
    Prospect, KY
  • 05/2018 → 09/2018
    Hillcrest Community Pool
    Prospect, KY
  • 10/2019 → 05/2021
    Sdh Education East, Llc Aka Sodexo Chick-Fil-A
    Murray, KY
  • 03/2019 → 05/2019
    Kroger
    Cincinnati, OH
  • 08/2015 → 05/2019
    Full Time Education
    Goshen, KY
  • 08/2019 → 05/2023
    Full Time Education
    Murray, KY
  • 09/2023 → Present
    Charles Schwab & Co., Inc.
    Lone Tree, CO
  • 09/2024 → Present
    Charles Schwab Bank, Ssb
    Lone Tree, CO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-12-16
  • S66 Uniform Combined State Law Examination
    2023-12-16
Other Names
  • Sam Spencer

View on SEC IAPD

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