Kathy Spencer

CRD 1184308 · Fidelity Brokerage Services LLC · Salt Lake City, UT

IA RegisteredBroker

Also appears in the source record as: Kathy J Spencer; Kathy Johanna Spencer

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (10): Series 99TOSeries 3SIESeries 7Series 24Series 4Series 10Series 9Series 66Series 63
Registered states (4): Massachusetts · Texas · Utah · Washington
Years in the industry (source record): 40
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Fidelity Brokerage Services LLC
Firm CRD: 7784
SEC number: Not yet retrieved from the source record
Assets under management: Not yet retrieved from the source record
Website: Not yet retrieved from the source record
Phone: Not yet retrieved from the source record
Firm location: Not yet retrieved from the source record

Employment history (14)

From the source registration record · current first

Strategic Advisers LLCCurrent
Holladay, UT · IA capacity

start not retrieved → present
Fidelity Brokerage Services LLCCurrent
Salt Lake City, UT · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
Salt Lake City, UT · IA capacity

Apr 26, 2023 → Mar 31, 2025
Morgan Stanley
Loveland, CO · IA capacity

Nov 8, 2017 → Feb 22, 2022
Morgan Stanley
Loveland, CO · BC capacity

Nov 7, 2017 → Feb 22, 2022
Wells Fargo Advisors, LLC
Salt Lake City, UT · IA capacity

Mar 31, 2016 → Jul 22, 2016
Wells Fargo Advisors, LLC
Salt Lake City, UT · BC capacity

Mar 31, 2016 → Jul 22, 2016
Wells Fargo Investments, LLC
Salt Lake City, UT · BC capacity

Jun 11, 2007 → Jan 3, 2011
Cambria Capital, LLC
Salt Lake City, UT · BC capacity

Nov 30, 2006 → May 30, 2007
Wells Fargo Securities, LLC
San Francisco, CA · BC capacity

Jul 1, 1999 → Jan 9, 2002
First Security Investor Services, Inc.
Salt Lake City, UT · BC capacity

Nov 4, 1993 → Jul 1, 1999
Wilson-Davis & Co., Inc.
Salt Lake City, UT · BC capacity

Aug 24, 1990 → Nov 2, 1993
Covey & Co., Inc.
Salt Lake City, UT · BC capacity

May 2, 1990 → Sep 5, 1990
Bagley Securities, Inc.
BC capacity

Jun 30, 1987 → Apr 25, 1990

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 1184308 ↗ FINRA BrokerCheck record for CRD 1184308 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.