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Spencer Huggett Fired from LPL Financial Following Alleged Forgery

Spencer Huggett (CRD #: 4538364), a broker registered with Cetera Advisor Networks, was fired from his previous firm, according to his BrokerCheck record, accessed on August 5, 2022. If you have questions about his conduct as a broker, keep reading.

Fired from LPL Financial

On May 26, 2022, Spencer Huggett was fired from LPL Financial after allegedly electronically signing account documents on behalf of clients.

FINRA Rule 2010

Forgery violates FINRA Rule 2010, which requires brokers to uphold high standards of commercial honor and just and equitable principles of trade.

Background Information

Spencer Huggett has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination
  • Series 26 – Investment Company Products/Variable Contracts Principal Examination 

Spencer Huggett is a registered broker in 12 states and a registered investment adviser in Minnesota, South Dakota, and Texas.

He has also worked for the following firms:

  • LPL Financial (CRD#:6413)
  • Investment Centers of America (CRD#:16443)
  • H. Beck (CRD#:1763)
  • QA3 Financial (CRD#:104957)
  • QA3 Financial Corporation (CRD#:14754)
  • Intersecurities (CRD#:16164)
  • Equity Leadership Securities Group (CRD#:128624)
  • Sterne Agee Financial Services (CRD#:18456)
  • United Securities Alliance (CRD#:36487)
  • Ameritas Investment Corporation (CRD#:14869)

Kurta Law Can Help

If you worked with Spencer Huggett and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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