Claudine Spence has been Director of Client Service/Principal of O'Shaughnessy Asset Management since January 2017, is a control person of the firm and directly owns under 5% of it.
O'Shaughnessy Asset Management, LLC is a Stamford, CT firm with $19.8B under management, 11,156 clients and 53 advisers in one office, as of its December 2025 filing.
- – present · 18 yearsStamford, CT · Adviser representative · Firm CRD 144594
Investment adviser representative registrations
Claudine Spence is registered as an investment adviser representative in Connecticut, since August 2008.
- ConnecticutSince 1 August 2008
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 2 June 2014 |
| Series 66 | Uniform Combined State Law Examination | 31 July 2008 |
| Series 7 | General Securities Representative Examination | 4 May 2007 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 19 August 1998 |
- Name
- Securities Industry Essentials Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Claudine Antoinette Spence
- CRD
- 3105453
- Firm
- O'Shaughnessy Asset Management · CRD 144594
- Role
- Director of Client Service/Principal
- Office
- 100 FIRST STAMFORD PLACE, Stamford, CT 06902
- Registration
- Investment adviser registration
- In the industry since
- September 2002
- Disciplinary history
- Not yet shown here · SEC record
Where does Claudine Spence work?
Claudine Spence has been Director of Client Service/Principal of O'Shaughnessy Asset Management, LLC since January 2017, and is a control person of the firm.
Is Claudine Spence a financial advisor?
Yes. Claudine Spence has a current investment-adviser registration in Connecticut, through O'Shaughnessy Asset Management since August 2008.
How many years of experience does Claudine Spence have?
Claudine Spence has 24 years in the financial industry, since September 2002, across 1 adviser firm.
What exams has Claudine Spence passed?
Claudine Spence has passed 4 licensing exams: the Series 6, Series 7, Series 66 and Series 26. The earliest, the Series 6, was passed in August 1998. FINRA credited Claudine Spence with the SIE, which began in October 2018.
Where is Claudine Spence based?
Claudine Spence’s registered office is in Stamford, CT.
Is Claudine Spence registered with FINRA?
No. Claudine Spence has no current broker registration.
How can I verify Claudine Spence’s record?
Search CRD 3105453 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Claudine Spence’s full registration record.
- Christopher LovelessPresident/Principal
- Kristopher SmithChief Operating Officer/Principal
- Raymond Amoroso IIIChief Compliance Officer/Principal
- Scott BartoneChief Product Officer/Co-Head of Investment Management/Portfolio Manager/Principal
- Bradley BerggrenCo-CIO of Canvas Managed Options Strategies/Portfolio Manager/Principal
- Erin FoleyDirector of Trading/Principal
- Rajat GuptaChief Technology Officer/Principal
- Patrick O'ShaughnessyChairman Emeritus
- Jonathan OrseckCo-CIO of Canvas Managed Options Strategies/Portfolio Manager/Principal
- Roger ParadisoExecutive Chairman/Principal
- Ari RosenbaumDirector of Private Wealth Solutions/Principal
- Ehren StanhopeChief Investment Strategist/Co-Head of Investment Management/Portfolio Manager/Principal