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RIA / WealthAdvisordual registered (broker-dealer)22 years in industry

Terry Wayne Spencer

Advisor at USI ADVISORS

GLASTONBURY, CT | Waukesha, WI | Brookfield, WI

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Search this name across graphsid dfx:ria:ad19013a-8b7a-794a-b79e-7fcebbd4c737

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Feb 3, 2005 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: USI ADVISORS
Current firm class: institutional managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 30, 2003earliest registration or exam on IAPD
Years in industry: 22derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 2
Registered states: 1
Exams: S63|S65
First exam: Dec 30, 2003
First registration: Feb 3, 2005
Dual registered: yes, broker-dealer
Other names: TERRY W SPENCER|Terry Wayne Spencer
IAPD individual key: 3242558

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
USI ADVISORS	Institutional manager	Sep 16, 2025	n/a	yes	Brookfield, WI\|GLASTONBURY, CT	Current employment
USI SECURITIES, INC.	No RAUM reported	Sep 16, 2025	n/a	yes	Waukesha, WI\|GLASTONBURY, CT	Current employment
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Jun 1, 2020	Nov 7, 2023	no	MILWAUKEE, WI\|Wauwatosa, WI\|Waukesha, WI	Previous registration
WELLS FARGO ADVISORS	Wirehouse	May 13, 2014	Oct 24, 2019	no	ST. LOUIS, MO\|OMAHA, NE	Previous registration
RUSSELL INVESTMENTS	Asset manager	Mar 1, 2011	Apr 7, 2014	no	MILWAUKEE, WI	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Mar 6, 2009	Aug 25, 2009	no	OMAHA, NE	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Mar 6, 2009	Aug 25, 2009	no	OMAHA, NE	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 3, 2005	Mar 22, 2007	no	BELLEVUE, NE	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
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	USI ADVISORS	Nov 7, 2023	Sep 16, 2025	679	Firm change after gap	Other
WELLS FARGO ADVISORS	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Oct 24, 2019	Jun 1, 2020	221	Firm change	Other
RUSSELL INVESTMENTS	WELLS FARGO ADVISORS	Apr 7, 2014	May 13, 2014	36	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Aug 25, 2009	Mar 6, 2009	-172	Channel change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Aug 25, 2009	Mar 6, 2009	-172	Firm change after gap	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	TD AMERITRADE, INC.	Mar 22, 2007	Mar 6, 2009	715	Firm change after gap	Other

Relationships

Registered with (7)

→ USI ADVISORSRegistered adviserregistration: current employment
Sep 16, 2025 to presentfactForm ADV
→ USI SECURITIES, INC.Registered adviserregistration: current employment
Sep 16, 2025 to presentfactForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Jun 1, 2020 to Nov 7, 2023factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 13, 2014 to Oct 24, 2019factForm ADV
→ RUSSELL INVESTMENTSRegistered adviserregistration: previous registration
Mar 1, 2011 to Apr 7, 2014factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Mar 6, 2009 to Aug 25, 2009factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Mar 6, 2009 to Aug 25, 2009factForm ADV

Dated events

Occurred
Nov 7, 2023
Advisor changed firm
Terry Wayne Spencer left Northwestern Mutual Investment Services,Llc for Usi Securities, Inc. (registered 2025-09-16)
Form ADVobserved 4 days ago