Richard Spivey has been an investment adviser representative at The L. Warner Companies since August 2016, and is not listed among the firm’s executive officers or direct owners.
The L. Warner Companies, Inc is a Timonium, MD firm with $802M under management, 465 clients and 9 advisers across 4 offices, as of its August 2026 filing.
Richard Spivey’s longest registration is the current one, 10 years at The L. Warner Companies since 2016. Before joining The L. Warner Companies in 2016, Richard Spivey was registered through United Brokerage Services Inc and Woodbury Financial Services, Inc.
- The L. Warner Companies, IncCurrent– present · 10 yearsTimonium, MD · Adviser representative · Firm CRD 108001
- United Brokerage Services Inc– · 2 yearsBethesda, MD · Adviser representative · Firm CRD 39062
- Woodbury Financial Services, Inc.– · 4 yearsHunt Valley, MD · Adviser representative · Firm CRD 421
Investment adviser representative registrations
Richard Spivey is registered as an investment adviser representative in Maryland, since August 2016.
- MarylandSince 9 August 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 25 June 2007 |
| Series 7 | General Securities Representative Examination | 19 October 1993 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 15 September 1982 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Richard Dean Spivey
- CRD
- 1062792
- Firm
- The L. Warner Companies · CRD 108001
- Office
- 9690 DEERECO ROAD, SUITE 650, Timonium, MD 21093
- Registration
- Investment adviser and broker registrations
- In the industry since
- October 1982
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Richard Spivey work?
Richard Spivey is an investment adviser representative registered through The L. Warner Companies, Inc since August 2016, and is not listed among the firm’s executive officers or direct owners.
Is Richard Spivey a financial advisor?
Yes. Richard Spivey has a current investment-adviser registration in Maryland, through The L. Warner Companies since August 2016.
How many years of experience does Richard Spivey have?
Richard Spivey has 44 years in the financial industry, since October 1982, across 3 adviser firms.
What exams has Richard Spivey passed?
Richard Spivey has passed 3 licensing exams: the Series 6, Series 7 and Series 63. The earliest, the Series 6, was passed in September 1982. FINRA credited Richard Spivey with the SIE, which began in October 2018.
Where did Richard Spivey work before The L. Warner Companies?
Before The L. Warner Companies, Richard Spivey was registered through Woodbury Financial Services, Inc., January 2005 to July 2009.
Where is Richard Spivey based?
Richard Spivey’s registered office is in Timonium, MD.
Is Richard Spivey registered with FINRA?
Yes. Richard Spivey has a current broker registration, under CRD 1062792.
Source: FINRA BrokerCheck
How can I verify Richard Spivey’s record?
Search CRD 1062792 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Richard Spivey’s full registration record.