Spencer R. Johnson

FENCL ADVISORY SERVICES LLC

Cedar Falls, IA 50613

Some features on this profile are disabled

CRD#: 5992518

Professional summary

Spencer R Johnson is a registered financial advisor currently at FENCL ADVISORY SERVICES LLC located in Cedar Falls, Iowa and CALTON & ASSOCIATES, INC. located in Marble Falls, Texas.

Spencer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Spencer has worked at 3 firms and has passed the Series 63, Series 65, SIE, 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.

Owner, control person, and IAR for Fencl Advisory Services, LLC. Provide investment management and financial planning advice. Accounts for approx 90% of time and business activities. Owner and President of ICM Financial Services, Inc. ICM Financial is a C corp in the state of Iowa and provides administrative support to Fencl Advisory Services. It also provides fixed insurance to clients, primarily through Ash Brokerage. Sole member of Spash Properties, LLC, a real estate holding company for rental properties. Currently own 1 property only, used for my financial services office building and accounts for less than 5% of time.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Spencer R Johnson'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

May 12, 2016 - Present

FENCL ADVISORY SERVICES LLC

Office #1: 422 Main Street, Cedar Falls, IA 50613

RIA

CRD#: 115904

Cedar Falls, IA

Current

July 1, 2023 - Present

CALTON & ASSOCIATES, INC.

Office #1: 1002 Marble Heights Drive Suite 101, Marble Falls, TX 78654Office #2: 422 Main Street, Cedar Falls, IA 50613

RIA

CRD#: 20999

Marble Falls, TX

Past

September 8, 2016 - July 20, 2023

DOMINION INVESTOR SERVICES, INC.

CRD#: 21548

Cedar Falls, IA

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.

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

IAR

Iowa
(5/12/2016)

Iowa
(7/1/2023)

IAR

Minnesota
(10/16/2019)

Minnesota
(7/1/2023)

IAR

Texas
(1/8/2020)

Wisconsin
(7/1/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/24/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/12/2016

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/8/2016

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/6/2018

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FENCL ADVISORY SERVICES LLC

DANIEL D. FENCL | SPENCER R. JOHNSON | FENCL ADVISORY SERVICES LLC

CRD#: 115904 / SEC#:

Iowa

Registered Investment Advisory firm - (1/1/2000 Approved)

Minnesota

Registered Investment Advisory firm - (10/15/2019 Approved)

Texas

Registered Investment Advisory firm - (12/27/2019 Conditional Restricted)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

422 Main Street, Cedar Falls, IA 50613

Mailing Address

Phone number

(319) 260-2006

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	332
AUM (Assets Under Management)	$ 74,000,000

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.

Similar Advisors

Bruce Parmenter

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Southgate, MI

Carson Biber

DRAKE & ASSOCIATES, LLC

IAR

WAUKESHA, WI

Vincent Renaut

PIER 42 ADVISORS

IAR

Plymouth, MA

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Spencer R. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Spencer R Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

FENCL ADVISORY SERVICES LLC

CALTON & ASSOCIATES, INC.

DOMINION INVESTOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/24/2016

Series 65

Date: 5/12/2016

SIE

Date: 10/1/2018

Series 7

Date: 9/8/2016

Series 24

Date: 4/6/2018

FINRA

Current Firm

FENCL ADVISORY SERVICES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FENCL ADVISORY SERVICES LLC

TRUST BUT VERIFY

Similar Advisors