Rick Spencer, CFA

Fixed Income Trader

Rick Spencer is a fixed income trader in the Capital Markets Group at 1st Global, where he applies his expertise to put together bond portfolios and offerings for representatives to present to their clients, works with managed accounts, executes corporate and municipal bond analysis and trading, and provides market analysis and investment strategies to advisors. He began his career at 1st Global in 2015 and strives to provide excellent service to affiliated advisors in order to help them achieve their objectives and to help the 1st Global Capital Markets Group be successful, as well.

Rick received his Bachelor of Arts degree in philosophy and Master of Business Administration in business from East Carolina University, and he was drawn to the financial services industry because he enjoys the challenge of working with the complexity and constant change that are givens in the markets. He also finds value in helping advisors and clients make the right decisions to meet their goals. Prior to 1st Global, he gained industry experience as a performance measurement analyst at Wachovia, portfolio manager at HD Vest, investment manager at Wells Fargo and fixed-income specialist at TD Ameritrade. He appreciates how heavily involved 1st Global is in investment management and investment strategy, and he sees his current role as a great opportunity every day to use his background in working in the fixed-income sector. As a Chartered Financial Analyst®, he is a member of the CFA Institute and the Dallas Society of Financial Analysts. He has passed his FINRA Series 7 and 66 exams.