Spencer Rand has been Chief Compliance Officer of Five Oceans Advisors since June 2021, is not listed as a control person, but directly owns under 5% of the firm.
Five Oceans Advisors LLC is a firm with $456M under management, 117 clients and 4 advisers across 4 offices, as of its January 2026 filing.
Spencer Rand’s longest registration was 5 years at Monument Wealth Management (2013–2018).
- Monument Wealth Management– · 5 yearsAlexandria, VA · Adviser representative · Firm CRD 159882
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 4 May 2013 |
| Series 66 | Uniform Combined State Law Examination | 9 March 2013 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Combined State Law Examination
- Full name
- Spencer David Rand
- CRD
- 6144205
- Firm
- Five Oceans Advisors · CRD 308377
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Spencer Rand work?
Spencer Rand has been Chief Compliance Officer of Five Oceans Advisors LLC since June 2021.
Does Spencer Rand have a current investment-adviser registration?
Spencer Rand has no current investment-adviser or broker registration.
What exams has Spencer Rand passed?
Spencer Rand has passed 2 licensing exams: the Series 66 and Series 7. The earliest, the Series 66, was passed in March 2013. FINRA credited Spencer Rand with the SIE, which began in October 2018.
Where was Spencer Rand previously registered as an investment adviser?
Spencer Rand has past investment-adviser registrations through Five Oceans Advisors, June 2021 to July 2024; Monument Wealth Management, May 2013 to October 2018, across 2 firms.
Is Spencer Rand registered with FINRA?
No. Spencer Rand has no current broker registration.
How can I verify Spencer Rand’s record?
Search CRD 6144205 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Spencer Rand’s full registration record.
