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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

FOREST BUSBY

Advisor at SPC

Spring, TX | ANN ARBOR, MI

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Search this name across graphsid dfx:ria:a7a18cd7-0c79-b997-d939-db143a5c9786

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 13, 2007 to Sep 15, 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: SPC
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: Apr 27, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Apr 27, 2006
First registration: Feb 13, 2007
Dual registered: yes, broker-dealer
Other names: FOREST BUSBY
IAPD individual key: 5103651

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
Spc	Bd affiliated wealth	Mar 2, 2026	n/a	yes	ANN ARBOR, MI\|Spring, TX	Current employment
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Oct 16, 2017	Mar 4, 2026	no	THE WOODLANDS, TX\|Tomball, TX\|Tomball, TX\|Tomball, TX\|Tomball, TX	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Oct 13, 2017	no	THE WOODLANDS, TX\|THE WOODLANDS, TX\|THE WOODLANDS, TX\|HOUSTON, TX\|SPRING, TX\|THE WOODLANDS, TX\|THE WOODLANDS, TX	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Sep 15, 2010	Oct 1, 2012	no	THE WOODLANDS, TX\|THE WOODLANDS, TX\|THE WOODLANDS, TX	Previous registration
EDWARD JONES	National bd RIA	Feb 13, 2007	Aug 27, 2010	no	THE WOODLANDS, TX\|ST. LOUIS, 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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Spc	Mar 4, 2026	Mar 2, 2026	-2	Firm change	Ibd to ibd
J.P. MORGAN SECURITIES LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Oct 13, 2017	Oct 16, 2017	3	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
EDWARD JONES	CHASE INVESTMENT SERVICES CORP.	Aug 27, 2010	Sep 15, 2010	19	Firm change	Other

Relationships

Registered with (5)

→ SPCRegistered adviserregistration: current employment
Mar 2, 2026 to presentfactForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Oct 16, 2017 to Mar 4, 2026factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Oct 13, 2017factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Sep 15, 2010 to Oct 1, 2012factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Feb 13, 2007 to Aug 27, 2010factForm ADV

Dated events

Occurred
Mar 4, 2026
Advisor changed firm
Forest Busby left Raymond James Financial Services Advisors, Inc for Spc (registered 2026-03-02)
Form ADVobserved 5 days ago