Our Professionals

The Firm

In business since 1990, Spencer Edwards is a Denver, Colorado based FINRA Member Retail Broker-Dealer/Investment Banker and NASDAQ Exchange Member acting as a investment banking firm specializing in small and mid cap equities.  Spencer Edwards provides traditional retail brokerage and acts as underwriter in public offerings of equities and private placements of debt and equities.  Spencer Edwards is also qualified to provide merger and acquisition services, corporate advisory, and valuation and fairness opinions.

Executive Management

John Kaszycki – Chief Compliance Officer

In October 2017 Mr. Kaszycki assumed the duties of Chief Compliance Officer for Spencer Edwards, Inc.

Mr. Kaszycki has forty six years of experience in the securities industry. His experience includes retail, trading and compliance. He started 2 firms and has experience as a branch manager whose duties included compliance responsibilities. He has also been the manager of numerous trading departments.

Mr. Kaszycki is licensed by FINRA Regulation Inc. as a: General Securities Principal FINRA Series 24; General Securities Agent Series 7; Uniform State Licensing FINRA Series 63; Investment Banking Representative Series 79; and Securities Trader Representative FINRA Series 57.

Mr. Kaszycki graduated from the University of Arizona in 1971 with a Business Administration and Finance Degree.

Donna Flemming – President – Corporate Director

Ms. Flemming’s background includes twenty-five years in the securities industry as a supervising broker, compliance officer, and securities firm administrator. Prior to assuming her management position at Spencer Edwards, Ms. Flemming was the Compliance Officer and Human Resources Associate with Portfolio Management Consultants, Inc. of Denver, Colorado. In that position Ms. Flemming was responsible for compliance with federal, state and self regulatory laws and licensing requirements for a NSMIA registered investment advisor, broker/dealer and their agents (with limited international operations).

Ms. Flemming became a director of compliance services and financial specialist at Spencer Edwards in December 2002 and its Executive Vice President and Corporate Director in October 2005. In June, 2012 Ms. Flemming became the Firm’s Chief Executive Officer/President, Chief Compliance Officer, Chief Financial Officer, and Financial and Operations Principal. In October 2017 she resigned as CCO and John Kaszycki assumed those duties.

Ms. Flemming is licensed by FINRA Regulation Inc. as a: General Securities Principal FINRA Series 24; Financial and Operations Principal FINRA Series 27; General Securities Agent FINRA Series 7; Uniform State Licensing FINRA Series 63; Financial Adviser FINRA Series 65; FINRA Equity Trader Series 55; Municipal Bond Principal Series 53; and FINRA Registered Options Principal Series 4.

Ms. Flemming earned her BA Degree in English Literature from the University of Colorado,
Boulder, Colorado in 1969 and a Paralegal degree with honors from Denver Paralegal Institute,
Denver, Colorado, in 1996.

Market Making Professionals

Thomas Richardson – Trading Compliance Principal,
Manager of Trading Department and Head Trader

Mr. Richardson has been a professional equities trader with national and regional OTC and clearing firms since 1979.  Mr. Richardson earned his BA Degree in Business Administration from the University of Buena Vista, Storm Lake, Iowa in 1975.

Mr. Richardson became the Equity Trader for Spencer Edwards in March 2003 and the Trading Compliance Principal, Manager of Trading and Head trader in December, 2008.
Mr. Richardson is licensed by FINRA Regulation Inc. as a: General Securities Principal FINRA Series 24; General Securities Agent FINRA Series 7 and FINRA Equity Trader Series 55.

 

Frederick Ott – Senior Trader

Mr. Ott’s experience in the securities industry includes forty + years in the brokerage industry as a professional stock trader with several NYSE firms as well as quality OTC firms.  Mr. Ott operated as a commodities trader for six years.  He also served on the FINRA Arbitration Committee for five years and has testified as an expert witness in a number of securities litigation matters.  From 1984 to 1988, Mr. Ott served as the Vice President and President of the Denver Securities Traders Association and remains an active member of that organization.

Mr. Ott became the Senior Trader for Spencer Edwards in December 2002.

Mr. Ott is licensed by FINRA Regulation Inc. as a: General Securities Agent FINRA Series 7; Uniform State Licensing FINRA Series 63 and FINRA Equity Trader Series 55.

Stephen Biley – OTC Equity Trader

Mr. Biley has been a securities broker since 1993.  Mr. Biley earned his BA Degree in Business Administration from the Hofstra University, New York, New York in 1992.

Mr. Biley has been employed by Spencer Edwards as a registered representative since January 1999.  In December, 2008, Mr. Biley became the Equity Trader for Spencer Edwards.  Mr. Biley is licensed by FINRA Regulation Inc. as a: General Securities Agent FINRA Series 7 and FINRA Equity Trader Series 55.

Other Spencer Edwards Personnel

Spencer Edwards employs twenty-two seasoned retail brokers as well as the necessary experienced and efficient administrative and supervisory personnel to maintain its varied finance specialist functions.  Virtually all of these individuals have twenty plus years in the securities industry, some as many as forty years.  Its main office is in suburban Denver, Colorado.