AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DS

Derek N. Spencer

ELLSWORTH ADVISORS
Hudson, OH 44236
Some features on this profile are disabled
CRD#: 6431464
DS

Professional summary

Derek N Spencer, who also goes by Derek Nathaniel Spencer, is a registered financial advisor currently at ELLSWORTH ADVISORS, LLC located in Hudson, Ohio and LPL FINANCIAL LLC located in Hudson, Ohio.

Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Derek has worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Derek Nathaniel Spencer

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 Derek N Spencer'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

March 4, 2026 - Present

ELLSWORTH ADVISORS, LLC

Office #1: 1764 Georgetown Road, Hudson, OH 44236
RIA
CRD#: 297464
Hudson, OH
Current

May 23, 2025 - Present

LPL FINANCIAL LLC

Office #1: 89 First Street, Suite 212, Hudson, OH 44236
RIA
BD
CRD#: 6413
Hudson, OH
Past

June 17, 2025 - February 25, 2026

STRATOS WEALTH PARTNERS, LTD

RIA
CRD#: 153184
Hudson, OH
Past

July 16, 2015 - December 1, 2016

STRATOS WEALTH PARTNERS, LTD

RIA
CRD#: 153184
HUDSON, OH
Past

July 7, 2015 - November 30, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
HUDSON, OH

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".
EA
ELLSWORTH ADVISORS, LLC
ELLSWORTH ADVISORS, LLC

CRD#: 297464 / SEC#: 801-113634

RIA
Registered Investment Advisory firm - (7/19/2018 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
Ohio
(5/23/2025)
IAR
Ohio
(3/4/2026)
RR
Texas
(9/10/2025)
RR
Washington
(9/10/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/29/2025
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/30/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/22/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/7/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EA
ELLSWORTH ADVISORS, LLC
ELLSWORTH ADVISORS, LLC

CRD#: 297464 / SEC#: 801-113634

RIA
Registered Investment Advisory firm - (7/19/2018 Approved)
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
1764 Georgetown Road, Hudson, OH 44236
Mailing Address
Phone number
(234) 200-0703
Established
Firm type
Fiscal year end
# of Employees
16

SEC notice filing (18 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

02 ADV PART 2A APPENDIX 1 (WRAP FEE PROGRAM BROCHURE) FOR ACCOUNTS HELD AT CHARLES SCHWAB 2024-05 (2/28/2025)
ADV PART 2A (FIRM BROCHURE) FOR ACCOUNTS HELD AT CHARLES SCHWAB 2025-02 (2/28/2025)

Regulatory assets under management

Total Number of Accounts1,863
AUM (Assets Under Management)$ 1,185,403,327

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

ELLSWORTH ADVISORS, LLC

CRD#: 297464Hudson, OH 44236

TRUST BUT VERIFY

Monitor Derek Spencer

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

BK
Boris KagarlitskiyAdvisorCheck Check Mark
KEY INVESTMENT SERVICES LLC
IAR
RR
University Heights, OH
JM
James MagyariAdvisorCheck Check Mark
COMMONWEALTH FINANCIAL NETWORK
IAR
RR
Solon, OH
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.