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PS

Phyllis R. Spears

LASALLE ST. INVESTMENT ADVISORS, L.L.C.
Louisville, KY 40202
Some features on this profile are disabled
CRD#: 2984166
PS

Professional summary

Phyllis Raelynn Spears, who also goes by Phyllis R Spears, is a registered financial advisor currently at LASALLE ST. INVESTMENT ADVISORS, L.L.C. located in Louisville, Kentucky and LASALLE ST SECURITIES, L.L.C. located in Jeffersonville, Indiana.

Phyllis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Phyllis has worked at 7 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Phyllis R Spears

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.
L & N Insurance Agency; investment related; agent - start date 7/31/2016; 1450 Veteran's Pkwy. Ste. 100 Jeffersonville, IN 47130; sales & service of fixed annuities and life insurance (not FIA); 20 hours per month, all during trading. Trust Protector L&N Credit Union - Credit Union Employee Advisory Committee Member Howard Steamboat Museum Registered Agent in Indiana (Paws4Life)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phyllis Raelynn Spears's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 16, 2017 - Present

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

Office #1: 200 West Chestnut St., Louisville, KY 40202Office #2: 6501 Veteran's Memorial Parkway, Crestwood, KY 40014Office #3: 12981 Shelbyville Rd., Louisville, KY 40243Office #4: 2865 Charlestown Road, New Albany, IN 47150Office #5: 3524 E. 10th Street, Jeffersonville, IN 47130Office #6: 2024 S. Hwy. 53, Lagrange, KY 40031Office #7: 262 Adam Shepherd Pkwy, Shepherdsville, KY 40165Office #8: 1450 Veteran's Parkway Ste. 100, Jeffersonville, IN 47130
RIA
CRD#: 109701
Louisville, KY
Current

December 15, 2017 - Present

LASALLE ST SECURITIES, L.L.C.

Office #1: 1450 Veteran's Parkway Ste. 100, Jeffersonville, IN 47130
BD
CRD#: 7191
Jeffersonville, IN
Past

January 26, 2016 - December 15, 2017

INVEST FINANCIAL CORPORATION

RIA
CRD#: 12984
JEFFERSONVILLE, IN
Past

January 26, 2016 - December 15, 2017

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
JEFFERSONVILLE, IN
Past

October 1, 2012 - February 3, 2016

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
JEFFERSONVILLE, IN
Past

October 1, 2012 - February 3, 2016

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
JEFFERSONVILLE, IN
Past

July 6, 2005 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
JEFFERSONVILLE, IN
Past

July 6, 2005 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
JEFFERSONVILLE, IN
Past

November 1, 2001 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA
CRD#: 16999
LOUISVILLE, KY
Past

November 23, 1999 - July 6, 2005

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

November 20, 1998 - November 12, 1999

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
PALM BEACH GARDENS, FL

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".
LS
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
LASALLE ST. INVESTMENT ADVISORS, L.L.C.

CRD#: 109701 / SEC#: 801-33422

RIA
Registered Investment Advisory firm - (2/10/1989 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
California
(2/5/2025)
RR
Florida
(12/15/2017)
IAR
Florida
(5/17/2018)
RR
Illinois
(5/2/2025)
RR
Indiana
(12/15/2017)
IAR
Indiana
(12/16/2017)
RR
Kentucky
(12/15/2017)
IAR
Kentucky
(12/16/2017)
IAR
Michigan
(12/16/2017)
RR
Virginia
(6/2/2022)
IAR
Virginia
(11/10/2022)
IAR
Wisconsin
(7/23/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/30/1998
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/12/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/14/2009
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/26/2009
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
LASALLE ST. INVESTMENT ADVISORS, L.L.C.

CRD#: 109701 / SEC#: 801-33422

RIA
Registered Investment Advisory firm - (2/10/1989 Approved)
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Contact information

Main Address
940 N. Industrial Dr., Elmhurst, IL 60126-1131
Mailing Address
Phone number
(630) 600-0500
Established
Firm type
Fiscal year end
# of Employees
144

SEC notice filing (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LSIA ADV PART 2A 01-02-18 (12/3/2025)

Regulatory assets under management

Total Number of Accounts11,941
AUM (Assets Under Management)$ 4,346,509,887

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

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

CRD#: 109701Louisville, KY 40202

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