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RIA / WealthAdvisordual registered (broker-dealer)17 years in industry

SEAN RANDALL SPENCER

Advisor at PRIME CAPITAL FINANCIAL

WICHITA, KS | Wichita, KS | OVERLAND PARK, KS

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Search this name across graphsid dfx:ria:b4df28c7-1a82-669c-1055-800ea5b88f61

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Aug 28, 2009 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: PRIME CAPITAL FINANCIAL
Current firm class: mixed wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 6, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 2
Registered states: 1
Exams: S65|S63
First exam: May 6, 2009
First registration: Aug 28, 2009
Dual registered: yes, broker-dealer
IAPD individual key: 5622254

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
PRIME CAPITAL FINANCIAL	Mixed wealth	Jun 1, 2026	n/a	yes	OVERLAND PARK, KS\|Wichita, KS	Current employment
ACCESS CAPITAL, LLC	Former SEC adviser	Jun 30, 2023	n/a	yes	WICHITA, KS	Current employment
IMA ADVISORY SERVICES, INC.	Mixed wealth	Jul 13, 2015	Jul 20, 2023	no	WICHITA, KS\|DENVER, CO\|WICHITA, KS	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 21, 2013	Jul 13, 2015	no	WICHITA, KS\|WICHITA, KS	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jun 14, 2010	Dec 16, 2011	no	WICHITA, KS	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Aug 28, 2009	Feb 16, 2010	no	WICHITA, KS	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
IMA ADVISORY SERVICES, INC.	ACCESS CAPITAL, LLC	Jul 20, 2023	Jun 30, 2023	-20	Firm change	RIA to new firm
LPL FINANCIAL LLC	IMA ADVISORY SERVICES, INC.	Jul 13, 2015	Jul 13, 2015	0	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	LPL FINANCIAL LLC	Dec 16, 2011	Nov 21, 2013	706	Firm change after gap	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Feb 16, 2010	Jun 14, 2010	118	Firm change	Other

Relationships

Registered with (6)

→ PRIME CAPITAL FINANCIALRegistered adviserregistration: current employment
Jun 1, 2026 to presentfactForm ADV
→ ACCESS CAPITAL, LLCRegistered adviserregistration: current employment
Jun 30, 2023 to presentfactForm ADV
→ IMA ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 13, 2015 to Jul 20, 2023factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 21, 2013 to Jul 13, 2015factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jun 14, 2010 to Dec 16, 2011factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Aug 28, 2009 to Feb 16, 2010factForm ADV

Dated events

Occurred
Jul 20, 2023
Advisor changed firm
Sean Randall Spencer left Ima Advisory Services, Inc. for Access Capital, Llc (registered 2023-06-30)
Form ADVobserved 4 days ago