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James William Spence

WESTWIND CAPITAL·LAS CRUCES, New Mexico
Series 7, Series 24, Series 53, Series 63Clean record22 years registeredWESTWIND CAPITAL
1800 S. TELSHOR, LAS CRUCES, NM 88011CRD# 1189299Firm CRD# 106802

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
James William Spence · LAS CRUCES, NM
Registration
CRD #1189299 · WESTWIND CAPITAL · 22 years registered
Brand Profile
Not yet started
01

Career History

No current investment adviser registration
Last registered firm: WESTWIND CAPITAL
SPENCE ASSET MANAGEMENT
Dec 2003 – Dec 2021
LAS CRUCES, NM
02

Registrations & Exams

FINRA examinations passed
Series 7
Series 24
Series 53
Series 63
Registration record
First registered · December 16, 2003
Years registered · 22
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
WESTWIND CAPITAL
CRD 106802 · SEC 801-43661
AUM
$623M
Regulatory assets under management
Employees
7
1,832 client accounts
Services offered by WESTWIND CAPITAL
Per Form ADV
Financial planning
Portfolio management (individuals)
Pension consulting
Selection of other advisers
Client types served by the firm
Per Form ADV
Individuals
Pension & Retirement Plans
High Net Worth Individuals
View all advisors at WESTWIND CAPITAL →
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05

Frequently Asked Questions

What services does James William Spence offer?
James William Spence specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management, Fee-Only Advisory.
What are James William Spence's credentials?
James William Spence is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is James William Spence located?
James William Spence is based in LAS CRUCES, New Mexico, last registered with WESTWIND CAPITAL.
How does James William Spence charge for services?
James William Spence's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is WESTWIND CAPITAL?
WESTWIND CAPITAL has approximately 7 employees and manages $623M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at WESTWIND CAPITAL

Eric Marshall Walton
LAS CRUCES, NM
Patrick M Grooms
LAS CRUCES, NM
CFPCFA

Browse by Specialty

Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
Nearby cities in New Mexico
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Research
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