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RIA / WealthAdvisordual registered (broker-dealer)42 years in industry

KATHY SPENCER

Advisor at STRATEGIC ADVISERS LLC

SALT LAKE CITY, UT | HOLLADAY, UT

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Search this name across graphsid dfx:ria:bd052004-341c-a887-7332-76f9ada6258d

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 28, 2015 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: STRATEGIC ADVISERS LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 19, 1984earliest registration or exam on IAPD
Years in industry: 42derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Apr 19, 1984
First registration: Jan 28, 2015
Dual registered: yes, broker-dealer
Other names: KATHY J SPENCER|KATHY JOHANNA SPENCER
IAPD individual key: 1184308

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STRATEGIC ADVISERS LLC	National bd RIA	Mar 31, 2025	n/a	yes	SALT LAKE CITY, UT\|HOLLADAY, UT	Current employment
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Apr 26, 2023	Mar 31, 2025	no	SALT LAKE CITY, UT	Previous registration
MORGAN STANLEY	Wirehouse	Nov 8, 2017	Feb 22, 2022	no	SOUTH JORDAN, UT\|SOUTH JORDAN, UT\|Loveland, CO	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Mar 31, 2016	Jul 22, 2016	no	MINNEAPOLIS, MN\|SALT LAKE CITY, UT	Previous registration
MORGAN STANLEY	Wirehouse	Jan 28, 2015	Mar 21, 2016	no	SOUTH JORDAN, UT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIDELITY PERSONAL AND WORKPLACE ADVISORS	STRATEGIC ADVISERS LLC	Mar 31, 2025	Mar 31, 2025	0	Bulk transfer	Ibd to ibd
MORGAN STANLEY	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Feb 22, 2022	Apr 26, 2023	428	Firm change after gap	Wirehouse to ibd
WELLS FARGO ADVISORS	MORGAN STANLEY	Jul 22, 2016	Nov 8, 2017	474	Firm change after gap	Wirehouse to wirehouse
MORGAN STANLEY	WELLS FARGO ADVISORS	Mar 21, 2016	Mar 31, 2016	10	Firm change	Wirehouse to wirehouse

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149777:19616:UT:2016-03-18	Mar 21, 2016	Mar 31, 2016	SOUTH JORDAN, UT	Firm change

Relationships

Registered with (4)

→ STRATEGIC ADVISERS LLCRegistered adviserregistration: current employment
Mar 31, 2025 to presentfactForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Apr 26, 2023 to Mar 31, 2025factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Nov 8, 2017 to Feb 22, 2022factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 31, 2016 to Jul 22, 2016factForm ADV

Dated events

Occurred
Feb 22, 2022
Advisor changed firm
Kathy Spencer left Morgan Stanley for Fidelity Personal And Workplace Advisors (registered 2023-04-26)
Form ADVobserved 6 days ago