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SE

Spencer R. Ellis

HURLEY INVESTMENTS
PROVO, UT 84601
Some features on this profile are disabled
CRD#: 4314103
SE

Professional summary

Spencer Randy Ellis is a registered financial advisor currently at HURLEY INVESTMENTS, LLC located in Provo, Utah.

Spencer is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Spencer has worked at 3 firms and has passed the Series 65 and Series 6 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Spencer Randy Ellis'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®
None

Experience

Current

October 10, 2023 - Present

HURLEY INVESTMENTS, LLC

Office #1: 43 West 300 North, Provo, UT 84601
RIA
CRD#: 153535
PROVO, UT
Past

March 17, 2020 - December 17, 2021

TOWNSQUARE CAPITAL, LLC

RIA
CRD#: 288576
Provo, UT
Past

January 1, 2001 - December 31, 2001

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA

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
Utah
(10/10/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/16/2020
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6
Date: 12/22/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

HI
HURLEY INVESTMENTS, LLC
BURKHART & WARD | HURLEY INVESTMENTS, LLC

CRD#: 153535 / SEC#:

Colorado
Registered Investment Advisory firm - (7/6/2017 Approved)
Louisiana
Registered Investment Advisory firm - (3/13/2023 Approved)
Mississippi
Registered Investment Advisory firm - (1/5/2015 Approved)
Texas
Registered Investment Advisory firm - (3/7/2023 Conditional Restricted)
Utah
Registered Investment Advisory firm - (5/27/2010 Approved)
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Contact information

Main Address
43 West 300 North, Provo, UT 84601
Mailing Address
Phone number
(888) 287-1030
Established
Firm type
Fiscal year end
# of Employees
5

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts76
AUM (Assets Under Management)$ 30,281,520

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

HURLEY INVESTMENTS, LLC

CRD#: 153535Provo, UT 84601

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