Kimberlee A. Spencer
EQUITA FINANCIAL NETWORK
Alcoa, TN
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CRD#: 2394928
Professional summary
Kimberlee Ann Spencer, CFP®, who also goes by Kimberlee Ann Defur, Kimberlee Ann Holt, Kim Spencer, is a registered financial advisor currently at EQUITA FINANCIAL NETWORK, INC. located in Alcoa, Tennessee.
Kimberlee is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Kimberlee has worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kimberlee Ann Defur | Kimberlee Ann Holt | Kim Spencer
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Kimberlee Ann Spencer's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 2004
Experience
Current
September 2, 2020 - Present
EQUITA FINANCIAL NETWORK, INC.
RIA
CRD#: 277031
Alcoa, TN
Past
January 13, 2016 - September 28, 2020
THE NALLS SHERBAKOFF GROUP, LLC
RIA
CRD#: 168239
KNOXVILLE, TN
Past
November 9, 2006 - January 5, 2016
PATRIOT INVESTMENT MANAGEMENT GROUP INC
RIA
CRD#: 112155
KNOXVILLE, TN
Past
July 10, 2003 - October 10, 2006
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
RIA
CRD#: 111757
BIRMINGHAM, AL
Past
April 11, 2003 - July 10, 2003
AMSOUTH INVESTMENT SERVICES, INC.
RIA
CRD#: 15692
ALCOA, TN
Past
February 14, 2000 - September 29, 2006
AMSOUTH INVESTMENT SERVICES, INC.
BD
CRD#: 15692
ALCOA, TN
Past
February 1, 1997 - February 14, 2000
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
September 9, 1993 - February 1, 1997
AMERISTAR CAPITAL MARKETS, INC.
BD
CRD#: 17068
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
EF
EQUITA FINANCIAL NETWORK, INC.
ABEONA WEALTH, LLC | YOUR STORY FINANCIAL, LLC | WHITE ALLIUM WEALTH ADVISORS LLC | WEALTHCHOICE, LLC | VISIBLE WEALTH PLANNING, LLC | TRUMAN WEALTH ADVISORS | NEXT STEP FINANCIAL, LLC | MOUNTAIN WEALTH PLANNING, LLC | MODERN FAMILY FINANCE, LLC | METHOD FINANCIAL PLANNING, LLC | METHOD FINANCIAL PLANNING, INC. | FEATHERED PADDLE WEALTH PARTNERS | EQUITA FINANCIAL NETWORK, INC. | EQUILA FINANCIAL, LLC | ASTRAEA WEALTH MANAGEMENT, LLC | AEGLEWEALTH, LLC
CRD#: 277031 / SEC#: 801-120628
RIA
Registered Investment Advisory firm - (3/26/2021 Approved)Alabama
Registered Investment Advisory firm - (3/26/2021 Terminated)California
Registered Investment Advisory firm - (4/25/2021 Terminated)Georgia
Registered Investment Advisory firm - (4/21/2021 Terminated)Minnesota
Registered Investment Advisory firm - (4/27/2021 Terminated)Missouri
Registered Investment Advisory firm - (3/26/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/7/2021 Terminated)Tennessee
Registered Investment Advisory firm - (4/19/2021 Terminated)Texas
Registered Investment Advisory firm - (3/26/2021 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Tennessee(9/2/2020)
IAR
Texas(8/30/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
EF
EQUITA FINANCIAL NETWORK, INC.
ABEONA WEALTH, LLC | YOUR STORY FINANCIAL, LLC | WHITE ALLIUM WEALTH ADVISORS LLC | WEALTHCHOICE, LLC | VISIBLE WEALTH PLANNING, LLC | TRUMAN WEALTH ADVISORS | NEXT STEP FINANCIAL, LLC | MOUNTAIN WEALTH PLANNING, LLC | MODERN FAMILY FINANCE, LLC | METHOD FINANCIAL PLANNING, LLC | METHOD FINANCIAL PLANNING, INC. | FEATHERED PADDLE WEALTH PARTNERS | EQUITA FINANCIAL NETWORK, INC. | EQUILA FINANCIAL, LLC | ASTRAEA WEALTH MANAGEMENT, LLC | AEGLEWEALTH, LLC
CRD#: 277031 / SEC#: 801-120628
RIA
Registered Investment Advisory firm - (3/26/2021 Approved)Alabama
Registered Investment Advisory firm - (3/26/2021 Terminated)California
Registered Investment Advisory firm - (4/25/2021 Terminated)Georgia
Registered Investment Advisory firm - (4/21/2021 Terminated)Minnesota
Registered Investment Advisory firm - (4/27/2021 Terminated)Missouri
Registered Investment Advisory firm - (3/26/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - (4/7/2021 Terminated)Tennessee
Registered Investment Advisory firm - (4/19/2021 Terminated)Texas
Registered Investment Advisory firm - (3/26/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
500 Office Center Drive Suite 400, Fort Washington, PA 19034
Mailing Address
500 Office Center Drive Suite 400, Fort Washington, PA 19034
Phone number
(800) 604-0176
Established
Firm type
Fiscal year end
# of Employees
19
SEC notice filing (20 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,476 |
| AUM (Assets Under Management) | $ 412,310,129 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
