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Regina N Spence

Cws Financial Advisors LLC

Kalamazoo, MI

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Current Employers
Cws Financial Advisors Llc

405 West Michigan Avenue Suite 110, Kalamazoo, MI 49007 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2025-01-01
  • MI RA
    APPROVED
    Since 2025-01-01

Branch Locations

405 West Michigan Avenue Suite 110, Kalamazoo, MI 49007 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Edward Jones St Louis MO 04/2018 03/2019
Flagstar Bank Troy MI 02/2007 03/2018
Lpl Financial Llc Kalamazoo MI 04/2019 09/2021
Cws Financial Advisors Llc Kalamaxoo MI 09/2021 Present
Previous Registrations
  • 2019-04-01 → 2021-09-16
    Kalamazoo, MI
    Chicago, IL
    Portage, MI
    Kalamazoo, MI
    Grand Rapids, MI
  • 2018-06-01 → 2019-03-20
    Mattawan, MI
    Marcellus, MI
    St Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-05-31
  • S66 Uniform Combined State Law Examination
    2018-05-31
Other Names
  • Regina Natascha Harrison
  • Regina Natascha Spence

View on SEC IAPD

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