William Thomas Spencer

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2016 → 05/2017
  Capital One Investing, Llc
  Seattle, WA
• 05/2017 → 04/2020
  People's United Bank, Na
  Hauppauge, NY
• 06/2017 → 07/2022
  People's Securities, Inc.
  Hauppauge, NY
• 04/2018 → 07/2022
  People's United Advisors, Inc
  Hauppauge, NY
• 03/2023 → Present
  Lpl Financial Llc
  Hauppauge, NY
• 07/2022 → 01/2023
  Wilmington Trust
  New York, NY
• 03/2023 → Present
  M&T Bank
  Hauppauge, NY

Previous Registrations

• 2018-04-03 → 2022-12-31
  People'S United Advisors, Inc.
  Melville, NY
  Hauppauge, NY
• 2017-06-21 → 2020-03-31
  People'S Securities, Inc.
  Hauppauge, NY
  Bridgeport, CT
  Bridgeport, CT
  Melville, NY
• 2016-06-06 → 2017-05-01
  Capital One Advisors, Llc
  Mclean, VA
• 2015-02-19 → 2015-09-02
  J.P. Morgan Private Wealth Advisors Llc
  Garden City, NJ
  San Francisco, CA
• 2011-03-30 → 2012-05-15
  J.P. Morgan Securities Llc
  Melville, NY
• 2004-01-05 → 2011-02-17
  Capital One Financial Advisors Llc
  Melville, NY
• 2003-06-12 → 2004-01-05
  Essex National Securities, Llc
  Lakesuccess, NY

Other Businesses

1) 03/01/2023 - Wilmington Trust - Financial Institution Duty - hauppauge NY 11788 - Investment related - 120 Hours per month - Start date: 07/01/2022. 2) 3/17/2023 - M & T Financial Services - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - Start Date - 01/3/2023.

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-03-10
• S66 Uniform Combined State Law Examination
  2003-05-22
• S63 Uniform Securities Agent State Law Examination
  1984-08-01

Other Names

• Bill Spencer
• William Thomas Spencer
• William Thomas Spencer