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Ryan Spencer

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CRD#: 6595452
RS

Professional summary

Ryan Spencer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ryan is a previously registered financial professional and started their career in finance in 2016. Prior to being barred, Ryan had worked at 2 firms, which includes DELOITTE CORPORATE FINANCE LLC, INVESTMENT PROFESSIONALS INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ryan Prescott 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 16, 2020 - October 20, 2023

DELOITTE CORPORATE FINANCE LLC

BD
CRD#: 111747
CHARLOTTE, NC
Past

January 21, 2016 - May 25, 2018

INVESTMENT PROFESSIONALS, INC.

BD
CRD#: 30184
JACKSON, TN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/18/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 11/16/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/25/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/2016
General Securities Representative Examination

Current Firm

DC
DELOITTE CORPORATE FINANCE LLC
DELOITTE & TOUCHE CORPORATE FINANCE LLC | DELOITTE CORPORATE FINANCE LLC

CRD#: 111747 / SEC#: , 8-53196

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
111 S. Wacker Drive, Chicago, IL 60606-4301
Mailing Address
111 S. Wacker Drive, Chicago, IL 60606-4301
Phone number
(213) 688-6560
Established
Delaware since 01/02/2001
Firm type
Limited Liability Company
Fiscal year end
May
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DELOITTE CORPORATE FINANCE HOLDING LLCPARENT (SOLE MEMBER OF LLC)
FLANIGAN, KEVAN KARLCHIEF COMPLIANCE OFFICER4374936
FRAME, WILLIAM HAMILTON PURVISCHIEF EXECUTIVE OFFICER4377290
RYAN, PATRICK JOSEPHCHIEF FINANCIAL OFFICER / FINOP4701737

Disclosures

Regulatory Event3

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

DELOITTE CORPORATE FINANCE LLC

CRD#: 111747

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