Financial advisor
Spencer W. Rand
Now at LPL Financial · Rand, Williams & Associates · Monterey, CA
Registered as SPENCER WILLIAM RAND
Transactions 1
Every recorded transaction this advisor took part in, newest first.
| Transaction | From | To | Pattern | Announced | Reported Assets |
|---|---|---|---|---|---|
| Rand, Williams & Associates | Osaic | LPL Financial | Lateral | January 8, 2026 | $260M |
Registration history
Firm registrations on FINRA BrokerCheck and SEC IAPD, newest first.
| Firm | Channel | From | To |
|---|---|---|---|
| LPL FINANCIAL LLC | Investment adviser | December 2, 2025 | Current |
| LPL FINANCIAL LLC | Investment adviser | December 1, 2025 | Current |
| LPL FINANCIAL LLC | Broker-dealer | December 1, 2025 | Current |
| OSAIC WEALTH, INC. | Investment adviser | January 13, 2017 | December 4, 2025 |
| RAND, WILLIAMS & ASSOCIATES, LLC | Investment adviser | March 23, 2012 | December 31, 2016 |
| RAND, WILLIAMS & ASSOCIATES | Investment adviser | June 17, 2009 | April 25, 2013 |
| OSAIC WEALTH, INC. | Broker-dealer | September 15, 2008 | December 4, 2025 |
| WELLS FARGO INVESTMENTS, LLC | Investment adviser | June 28, 2006 | March 6, 2007 |
| WELLS FARGO INVESTMENTS, LLC | Broker-dealer | June 28, 2006 | March 6, 2007 |
| WADDELL & REED, INC. | Investment adviser | May 23, 2006 | June 13, 2006 |
| WADDELL & REED, INC. | Broker-dealer | April 28, 2006 | June 13, 2006 |
Published record as of October 31, 2026. Registration dates are FINRA BrokerCheck and SEC IAPD registrations at the destination, not proof that client assets transferred. See the methodology.