RS
Ryan M. Spencer
CHEROKEE & WALKER MANAGEMENT
Salt Lake City, UT 84121
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CRD#: 3227565
RS
Professional summary
Ryan Muir Spencer is a registered financial advisor currently at CHEROKEE & WALKER MANAGEMENT located in Salt Lake City, Utah.
Ryan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Ryan has worked at 3 firms and has passed the Series 65, Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1) Name of Business: SWG SALT LAKE CITY, LLC, Sandy, UT. Investment-related: NO. Nature of business: ARTIFICIAL TURF AND PUTTING GREENS. Position/Title: MEMBER. Start Date: 08/01/2019. Approximate number of hours/month: 2-5; 2-5 DURING TRADING HOURS. Description of duties: FINANCIAL AND OPERATIONAL ASSISTANCE. 2) Name of Business: NORTHROCK COMPANIES, LLC, Draper, UT. Investment-related: NO. Nature of business: MULTI-FAMILY PROPERTY ACQUISITION AND MANAGEMENT. Position/Title: MEMBER. Start Date: 01/01/2020. Approximate number of hours/month: 1; 1 DURING TRADING HOURS. Description of duties: MEMBER ONLY.
CRS (Client Relationship Summary) - RIA
Click below to view Ryan Muir 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®
NoneExperience
Current
April 8, 2015 - Present
CHEROKEE & WALKER MANAGEMENT
Office #1: 6440 South Wasatch Boulevard Suite 200, Salt Lake City, UT 84121RIA
CRD#: 160962
Salt Lake City, UT
Past
February 9, 2011 - August 22, 2011
ALPINE SECURITIES CORPORATION
BD
CRD#: 14952
SALT LAKE CITY, UT
Past
October 6, 2010 - June 30, 2011
NATIONAL INVESTMENT ADVISORS
RIA
CRD#: 148050
SALT LAKE CITY, UT
Past
May 25, 1999 - March 30, 2009
ALPINE SECURITIES CORPORATION
BD
CRD#: 14952
SALT LAKE CITY, UT
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".
C&
CHEROKEE & WALKER MANAGEMENT
CHEROKEE & WALKER MANAGEMENT | CHEROKEE AND WALKER MANAGEMENT, LLC | CHEROKEE AND WALKER MANAGEMENT | CHEROKEE & WALKER MANAGEMENT, LLC
CRD#: 160962 / SEC#: 801-113327
RIA
Registered Investment Advisory firm - (5/30/2018 Approved)Utah
Registered Investment Advisory firm - (7/2/2018 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
Arizona(4/29/2024)
IAR
Utah(4/8/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 55
Date: 2/16/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Current Firm
C&
CHEROKEE & WALKER MANAGEMENT
CHEROKEE & WALKER MANAGEMENT | CHEROKEE AND WALKER MANAGEMENT, LLC | CHEROKEE AND WALKER MANAGEMENT | CHEROKEE & WALKER MANAGEMENT, LLC
CRD#: 160962 / SEC#: 801-113327
RIA
Registered Investment Advisory firm - (5/30/2018 Approved)Utah
Registered Investment Advisory firm - (7/2/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6440 South Wasatch Boulevard Suite 200, Salt Lake City, UT 84121
Mailing Address
Phone number
(801) 278-7800
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9 |
| AUM (Assets Under Management) | $ 117,235,901 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/30/2025 | ||
| 12/11/2024 | ||
| 01/23/2024 | ||
| 02/22/2023 |
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.
