Spencer Moody is a registered investment advisor, based in Charlotte, NC, with 4 years of industry experience.
Location
1030 Admiral Nelson Ct, Charlotte, NC, 28262
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Spencer is an employee of The Vanguard Group, Inc., the parent company of Vanguard Marketing Corporation. This activity is employment-related.
Employment History
Current Registrations
Vanguard Marketing Corporation
July 2021 - Present · 4 yrs 10 mos
Vanguard Advisers, INC.
July 2021 - Present · 4 yrs 10 mos
Vanguard Marketing CorporationBroker
July 2021 - Present · 4 yrs 10 mos
Previous Registrations
Northwestern Mutual Investment Services, LLCBroker
December 2020 - December 2020 · 0 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.