Compliance Consulting Services for State and SEC Registered Investment Advisors

Spencer Lee
Director of Audits and Regulatory Examinations
Spencer came to Polaris in 2021 from the Alabama Securities Commission (ASC) where he spent 19 of his 25 years of state service (the balance being spent at the Alabama Insurance Department). While at the ASC, Spencer led or participated in just under 500 audits of investment advisers, broker dealers, money service businesses, and unregistered entities. These audits included work with the SEC, FINRA, and other state regulators conducting ad hoc sweeps regionally and nationwide. Spencer is grateful for the opportunity to leverage this experience for the benefit of the great client base at Polaris. Spencer graduated from Huntingdon College in 1990 with a BA in Business Administration and from Auburn University in 1992 with an MBA. Spencer lives in Auburn, AL with his wife Charlotte, their children Sarah-Grace and Benjamin, and their adorable party yorkie, Boo.
Fun Facts:
In 1985 Spencer tried out for the Kansas City Royals baseball team
Spencer once met the inventor of the hydrogen bomb, Edward Teller
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