Spencer Douglas Neal

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

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

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

Current Employers

Employment History

• 12/2008 → Present
  Cambridge Investment Research, Inc
  Fairfield, IA
• 04/2012 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2009-01-22 → 2013-05-31
  Severn Financial Advisors, Llc
  Annapolis, MD
• 2008-12-10 → 2010-10-07
  Cambridge Investment Research Advisors, Inc.
  Annapolis, MD
• 2008-02-07 → 2009-01-07
  Mml Investors Services, Llc
  Annapolis, MD
  Rockville, MD

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 8/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 3) INDEPENDENT INSURANCE AGENT, ANNAPOLIS, MD, 12/2009 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 12/WK - 2.5/TRADING. 4) LEADING EDGE WEALTH ADVISORS, LLC, 2007 TIDEWATER COLONY DRIVE #2B, ANNAPOLIS MD, 6/2013, PASSTHROUGH COMPANY, NIR, 160 HR/MO - 160 HR TRADING 5) RPAG/NFP, 120 VANTIS, SUITE 400, ALISO VIEJO CA 92656, 04/2024, INVESTMENT ADVISOR REPRESENTATIVE, 1099 CONTRACTOR, INV REL, 1 HR/MO - 0 HR/MO TRADING. 6) SPENCER NEAL / LEADING EDGE WEALTH ADVISORS, 2007 Tidewater Colony Drive, Suite 2B, Annapolis, MD 21401, 05/2026, Agent, Insurance/Benefits/Human Resources, NIR, 1 HR/MO - 1 HR/MO TRADING.

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-01-30
• S63 Uniform Securities Agent State Law Examination
  1999-05-28