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RIA / WealthAdvisorCertified Financial Planner16 years in industry

STEPHEN NEIL SPICER

Advisor at SPICER CAPITAL

FAYETTEVILLE, AR

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Search this name across graphsid dfx:ria:cec0ebbd-2bfa-d79a-c4e3-debb70866a57

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 17, 2013 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: SPICER CAPITAL
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 28, 2010earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63
First exam: Jun 28, 2010
First registration: Jun 17, 2013
Dual registered: no
Other names: STEPHEN NEIL SPICER
IAPD individual key: 5784234

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
SPICER CAPITAL	State registered	Sep 2, 2026	n/a	yes	FAYETTEVILLE, AR	Current employment
SPICER CAPITAL	State registered	Mar 12, 2021	Dec 31, 2022	no	FAYETTEVILLE, AR	Previous registration
API FINANCIAL ADVISORS, LLC	Independent wealth	Dec 11, 2019	Mar 4, 2021	no	ROCKLEDGE, FL\|FAYETTEVILLE, AR	Previous registration
SPICER CAPITAL, LLC	n/a	Jan 31, 2017	Dec 11, 2019	no	FAYETTEVILLE, AR	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Jun 17, 2013	Jan 7, 2016	no	Rogers, AR	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
API FINANCIAL ADVISORS, LLC	SPICER CAPITAL	Mar 4, 2021	Mar 12, 2021	8	Firm change	RIA to state RIA
SPICER CAPITAL, LLC	API FINANCIAL ADVISORS, LLC	Dec 11, 2019	Dec 11, 2019	0	Firm change	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	SPICER CAPITAL, LLC	Jan 7, 2016	Jan 31, 2017	390	Firm change	Other

Relationships

Registered with (4)

→ SPICER CAPITALRegistered adviserregistration: previous registration
Mar 12, 2021 to Dec 31, 2022factForm ADV
→ API FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Dec 11, 2019 to Mar 4, 2021factForm ADV
→ SPICER CAPITAL, LLCRegistered adviserregistration: previous registration
Jan 31, 2017 to Dec 11, 2019factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Jun 17, 2013 to Jan 7, 2016factForm ADV

Dated events

No dated event names this entity yet.