Cheryl Lynn Smith
Professional Summary
Cheryl Lynn Smith, who also goes by Cheryl Lynn Sparks, is a registered financial advisor currently at RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC located in Seattle, Washington. Cheryl is registered as a RR (Registered Representative) and started their career in finance in 1998. Cheryl has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Cheryl Lynn Sparks
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
28 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
FRANK RUSSELL CO., INC. | RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC | RUSSELL INVESTMENTS | RUSSELL INVESTMENT GROUP | RUSSELL IMPLEMENTATION SERVICES, INC. PART OF RUSSELL INVMT GRP | RUSSELL IMPLEMENTATION SERVICES, INC. | RUSSELL IMPLEMENTATION SERVICES INC. PART OF RUSSELL INVESTMENTS | RUSSELL IMPLEMENTATION SERVICES INC. | FRANK RUSSELL SECURITIES, INC. PART OF RUSSELL INVESTMENT GROUP | FRANK RUSSELL SECURITIES, INC.
Contact Information
Main Address
401 Union St 18th Floor 18th Floor, Seattle, WA, 98101Mailing Address
401 Union St 18th Floor, Seattle, WA, 98101Phone Number
(206) 505-7877Established
Washington since 06/02/2016Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
569SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
FINRA licenses (9 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUSSELL INVESTMENTS US INSTITUTIONAL HOLDCO, INC. | OWNER | — |
| CURRAN, AMY ELIZABETH | US ADVISER CHIEF COMPLIANCE OFFICER | 4876594 |
| EL-HILLOW, KATHERINE ANNE | DIRECTOR; PRESIDENT; CHIEF INVESTMENT OFFICER | 4889284 |
| LENZO, JASON ABRAM | DIRECTOR | 2972909 |
| OSTROVSKY, AARON ALEXANDER | DIRECTOR | 7851945 |
| PALTROWITZ, MARK DAVID | CHIEF RISK OFFICER | 2787627 |
| SIEGEL, DAVID ANDREW | FINANCIAL AND OPERATIONS PRINCIPAL | 7440274 |
| SURLOFF, HOWARD BRIAN | CHIEF LEGAL OFFICER | 7525747 |
| WICHERS, CHERYL BETH | BROKER-DEALER CHIEF COMPLIANCE OFFICER | 3232164 |
Regulatory Assets Under Management
Total Number of Accounts
146AUM (Assets Under Management)
$81,091,385,383Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
FRANK RUSSELL CO., INC. | RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC | RUSSELL INVESTMENTS | RUSSELL INVESTMENT GROUP | RUSSELL IMPLEMENTATION SERVICES, INC. PART OF RUSSELL INVMT GRP | RUSSELL IMPLEMENTATION SERVICES, INC. | RUSSELL IMPLEMENTATION SERVICES INC. PART OF RUSSELL INVESTMENTS | RUSSELL IMPLEMENTATION SERVICES INC. | FRANK RUSSELL SECURITIES, INC. PART OF RUSSELL INVESTMENT GROUP | FRANK RUSSELL SECURITIES, INC.
State Registrations and Notice Filings
(6/15/2016)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Cheryl Lynn Smith's CRS (Customer Relationship Summary).
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