John P. Spivey
STRATEGIC ADVISERS LLC | Vice President, Financial Consultant
RALEIGH, NC 27612-3859
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CRD#: 2813279
Professional summary
John P Spivey, CFP®, who also goes by John Phillip Spivey, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Raleigh, North Carolina and FIDELITY BROKERAGE SERVICES LLC located in Raleigh, North Carolina.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. John has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Biography
Fidelity makes available to you a broad platform of various resources. I will help you understand those resources and the power behind the Fidelity brand. You can leverage my 23 years of experience at Fidelity in helping clients with retirement, wealth planning, and income planning to help you build and execute a personalized plan.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Phillip Spivey
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 John P Spivey'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®
Education
Austin College
Bachelor of Economics - Economics
1996
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #1: 4509 Creedmoor Rd Suite 101, Raleigh, NC 27612-3859RIA
CRD#: 104555
RALEIGH, NC
Current
November 4, 1997 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 4509 Creedmoor Road Suite 101, Raleigh, NC 27612BD
CRD#: 7784
Raleigh, NC
Past
July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
RALEIGH, NC
Past
September 1, 2000 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
RALEIGH, NC
Past
October 24, 1996 - July 16, 1997
NORTHGATE SECURITIES INC.
BD
CRD#: 21188
SPRING, TX
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/5/2018)
RR
Arizona(1/6/2017)
RR
California(1/11/2006)
RR
Colorado(11/17/2015)
RR
Connecticut(9/6/2016)
RR
Delaware(5/19/2023)
RR
District of Columbia(8/10/2017)
RR
Florida(11/6/1997)
RR
Georgia(8/17/2006)
RR
Illinois(11/9/2021)
RR
Iowa(3/7/2019)
RR
Kentucky(10/30/2019)
RR
Louisiana(2/14/2006)
RR
Maine(4/9/2021)
RR
Maryland(10/30/2019)
RR
Massachusetts(8/3/2006)
RR
Michigan(1/3/2025)
RR
Minnesota(11/29/2018)
RR
Mississippi(9/27/2007)
RR
Missouri(3/12/2021)
RR
Montana(3/25/2023)
RR
Nevada(1/4/2019)
RR
New Jersey(4/23/2020)
RR
New Mexico(3/7/2014)
RR
New York(1/11/2006)
RR
North Carolina(7/6/2004)
IAR
North Carolina(3/31/2025)
RR
Ohio(1/6/2016)
RR
Oklahoma(5/3/2024)
RR
Oregon(8/10/2017)
RR
Pennsylvania(4/30/2008)
RR
Rhode Island(5/1/2013)
RR
South Carolina(7/6/2004)
RR
Tennessee(2/14/2006)
RR
Texas(1/11/2006)
IAR
Texas(3/31/2025)
RR
Utah(8/10/2017)
RR
Vermont(10/8/2021)
RR
Virgin Islands(11/11/2008)
RR
Virginia(1/7/1998)
RR
Washington(1/3/2025)
RR
Wisconsin(7/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
STRATEGIC ADVISERS LLC
Vice President, Financial ConsultantCRD#: 104555Raleigh, NC 27612-3859TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
