Warren Charles Spencer
Investment adviser representative at Ameriprise Financial Services, LLC
10 yearsExperience
1 stateRegistered in
$660.5BFirm assets
39 yearsFirm in business
Are you Warren Charles Spencer? Claim your profile
Contact this firm
How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
10 years in the industry.
- Ameriprise Financial Services, LLCJan 2020 to now
- Kovack Advisors, Inc.Aug 2010 to Jan 2020
- Kovack Securities, Inc.Aug 2010 to Jan 2020
Exams passed
- Series 63 · Uniform Securities Agent State Law1998
- Series 66 · Uniform Combined State Law2007
State registrations
Registered as an investment adviser representative in 1 state (ME).
Ameriprise Financial Services, LLC
$660.5BAssets managed
1,386,329Clients
12,701Advisers
39 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 3013294
- Firm CRD
- 6363