DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Planner30 years in industry

Stephen Robert Spence

Advisor at NFSG CORPORATION

NEENAH, WI | BOCA RATON, FL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:97a3c66f-80e9-82a2-5c36-692313c32a4e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 10, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NFSG CORPORATION
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 11, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Jul 11, 1996
First registration: Oct 10, 2005
Dual registered: no
Other names: STEVE SPENCE|STEPHEN R SPENCE
IAPD individual key: 2409165

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NFSG CORPORATION	Bd affiliated wealth	Jul 23, 2026	n/a	yes	NEENAH, WI\|BOCA RATON, FL	Current employment
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Feb 13, 2026	Jun 10, 2026	no	Appleton, WI\|Appleton, WI\|Appleton, WI\|Green Bay, WI\|Green Bay, WI\|Green Bay, WI	Previous registration
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Aug 14, 2008	Feb 13, 2026	no	Appleton, WI\|Princeton, WI\|Oshkosh, WI\|APPLETON, WI\|Menasha, WI\|Appleton, WI\|Springfield, MO\|Springfield, MO\|SPRINGFIELD, MO\|FORSYTH, MO\|Springfield, MO\|SPRINGFIELD, MO\|Branson West, MO\|BRANSON, MO\|Appleton, WI\|Appleton, WI\|Menasha, WI\|Ripon, WI\|Portage, WI\|PORTAGE, WI\|Ripon, WI\|Princeton, WI\|Appleton, WI\|PORTAGE, WI\|Menasha, WI\|Appleton, WI\|Green Bay, WI\|Green Bay, WI\|Green Bay, WI\|SAINT PAUL, MN\|Appleton, WI\|Appleton, WI\|Appleton, WI	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Oct 10, 2005	Aug 11, 2008	no	SPRINGFIELD, MO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
U.S. BANCORP ADVISORS, LLC	NFSG CORPORATION	Jun 10, 2026	Jul 23, 2026	43	Firm change	Ibd to ibd
U.S. BANCORP INVESTMENTS, INC.	U.S. BANCORP ADVISORS, LLC	Feb 13, 2026	Feb 13, 2026	0	Bulk transfer	Ibd to ibd
LPL FINANCIAL LLC	U.S. BANCORP INVESTMENTS, INC.	Aug 11, 2008	Aug 14, 2008	3	Firm change	Other

Relationships

Registered with (4)

→ NFSG CORPORATIONRegistered adviserregistration: current employment
Jul 23, 2026 to presentfactForm ADV
→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
Feb 13, 2026 to Jun 10, 2026factForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Aug 14, 2008 to Feb 13, 2026factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Oct 10, 2005 to Aug 11, 2008factForm ADV

Dated events

Occurred
Jun 10, 2026
Advisor changed firm
Stephen Robert Spence left U.S. Bancorp Advisors, Llc for Nfsg Corporation (registered 2026-07-23)
Form ADVobserved 5 days ago