Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy J. Spencer is a financial advisor with Fidelity Personal And Workplace Advisors. Kathy is a licensed financial advisor in the states of Texas and Utah. Kathy has more than 35 years of experience in the financial services industry. Her previous experience includes working with Morgan Stanley, Wells Fargo Advisors, and Cambria Capital, LLC. Kathy is a Series 63, 66, 7, 3, 4, 9, 10, 24, 99TO and SIE licensed advisor. Kathy specializes in providing financial planning, portfolio management for businesses and individuals, educational seminars, and selection of other advisors.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
UT
04/27/2023 - Present
Fidelity Personal AND Workplace Advisors (SALT LAKE CITY UT)
CO
11/07/2017 - 02/22/2022
MORGAN STANLEY (Loveland CO)
UT
03/31/2016 - 07/22/2016
WELLS FARGO ADVISORS, LLC (SALT LAKE CITY UT)
UT
09/11/2013 - 03/21/2016
MORGAN STANLEY (SOUTH JORDAN UT)
UT
01/03/2011 - 08/20/2013
WELLS FARGO ADVISORS, LLC (SALT LAKE CITY UT)
UT
06/11/2007 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SALT LAKE CITY UT)
UT
11/30/2006 - 05/30/2007
CAMBRIA CAPITAL, LLC (SALT LAKE CITY UT)
UT
06/29/2001 - 11/15/2006
WELLS FARGO INVESTMENTS, LLC (SALT LAKE CITY UT)
CA
07/01/1999 - 01/09/2002
WELLS FARGO SECURITIES, LLC (SAN FRANCISCO CA)
UT
11/04/1993 - 07/01/1999
FIRST SECURITY INVESTOR SERVICES, INC. (SALT LAKE CITY UT)
UT
08/24/1990 - 11/02/1993
WILSON-DAVIS & CO., INC. (SALT LAKE CITY UT)
UT
05/02/1990 - 09/05/1990
COVEY & CO., INC. (SALT LAKE CITY UT)
NA
06/30/1987 - 04/25/1990
BAGLEY SECURITIES, INC.
NA
04/18/1984 - 06/24/1987
COVEY & CO., INC.
BOTH
Issued 01/23/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/19/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/07/2006
Series 24 - General Securities Principal Examination
BC
Issued 06/22/2002
Series 4 - Registered Options Principal Examination
BC
Issued 08/04/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/21/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/11/2019
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/14/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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