Unclaimed Profile

Kevin Dion Spence

TRADITION ASSET MANAGEMENT LLC·RICHMOND, Virginia

SIE, Series 7, Series 9, Series 10, Series 11, Series 14, Series 24, Series 52TO, Series 53, Series 66Clean record22 years registeredTRADITION ASSET MANAGEMENT LLC

901 EAST BYRD STREET, RICHMOND, VA 23219CRD# 3172600Firm CRD# 300756

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Kevin Dion Spence · RICHMOND, VA

Registration

CRD #3172600 · TRADITION ASSET MANAGEMENT LLC · 22 years registered

Brand Profile

Not yet started

Career History

EMPOWER ADVISORY GROUP, LLC

Jun 2026 – present

EMPOWER FINANCIAL SERVICES, INC.

Jun 2026 – present

ADVICE AND PLANNING SERVICES

Dec 2020 – May 2026

CHARLOTTE, NC

CARY STREET PARTNERS

Feb 2018 – Nov 2020

RICHMOND, VA

WELLS FARGO ADVISORS, LLC

Dec 2010 – Dec 2015

CHARLOTTE, NC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

May 2008 – Dec 2010

ST. LOUIS, MO

WACHOVIA SECURITIES, LLC

Jan 2005 – May 2008

GLEN ALLEN, VA

WACHOVIA SECURITIES, LLC

Jul 2004 – Dec 2004

GLEN ALLEN, VA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 9

Series 10

Series 11

Series 14

Series 24

Series 52TO

Series 53

Series 66

Registration record

First registered · July 6, 2004

Years registered · 22

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

TRADITION ASSET MANAGEMENT LLC

CRD 300756 · SEC 801-115047

AUM

$727M

Regulatory assets under management

Employees

420 client accounts

Services offered by TRADITION ASSET MANAGEMENT LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at TRADITION ASSET MANAGEMENT LLC →

Introduction

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Frequently Asked Questions

What services does Kevin Dion Spence offer?

Kevin Dion Spence specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in RICHMOND, Virginia for a consultation.

What are Kevin Dion Spence's credentials?

Kevin Dion Spence is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Kevin Dion Spence located?

Kevin Dion Spence is based in RICHMOND, Virginia, working with TRADITION ASSET MANAGEMENT LLC. Their office serves clients in the RICHMOND metropolitan area and surrounding communities.

How does Kevin Dion Spence charge for services?

Kevin Dion Spence's firm is compensated through percentage of aum, other: financial planning & consulting fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is TRADITION ASSET MANAGEMENT LLC?

TRADITION ASSET MANAGEMENT LLC has approximately 21 employees and manages $727M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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