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Chris Spencer

Private Advisor Group, LLC
22 Years of Experience
San Jose, CA
1 DisclosureBroker
View SEC Summary
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Chris Spencer is a registered investment advisor at Private Advisor Group, LLC, based in San Jose, CA, with 22 years of industry experience. Chris is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Insurance Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 142,225 clients with $44B in assets under management.

Private Advisor Group, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
930 advisors
Number of Clients
142,225 clients
Average Client Portfolio
$312K average
Assets Under Management
$44.3B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Maximum annual fee is 2.00%, negotiable based on assets, account composition, and complexity.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

350 W Julian St Bldg 3, San Jose, CA, 95110

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Chris operates under Camino Advisors as a DBA for his LPL business and dedicates nearly full-time hours to Mariner Independent Advisor Network as a registered investment advisor. Chris also has outside W-2 employment with Northern California Referees Association and owns multiple real estate rental properties, spending minimal time on each.

Employment History
Current Registrations
Private Advisor Group, LLC
June 2026 - Present · 4 mos
LPL Financial LLCBroker
April 2017 - Present · 9 yrs 6 mos
Previous Registrations
Mariner Advisor Network
April 2017 - June 2026 · 9 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - April 2017 · 7 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - April 2017 · 7 yrs 6 mos
Banc of America Investment Services, INC.
November 2006 - October 2009 · 2 yrs 11 mos
Banc of America Investment Services, INC.Broker
November 2006 - October 2009 · 2 yrs 11 mos
Morgan Stanley
January 2004 - November 2006 · 2 yrs 10 mos
Morgan Stanley Dw INC.Broker
December 2003 - November 2006 · 2 yrs 11 mos
State Registrations8 states
ARAZCAINNMNVTXWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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