MS
Mark I. Spiegel
Some features on this profile are disabled
CRD#: 1266079
MS
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Irving Spiegel was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1984. Mark had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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)AIRSAGE / 400 EMBASSY ROW NE ATLANTA, GEORGIA 30328 / COMPANY / TELECOMMUNICATIONS / LOCATION BASED ANALYTICS / IS THIS AN INDUSTRY SECTOR ORGANIZATION? NO / ADVISOR OR MEMBER OF AN ADVISORY COMMITTEE, IF THE ADVICE GIVEN WILL OR MAY INFLUENCE THE BOARD OR OTHER SENIOR MANAGEMENT OR SUPERVISORY BOARD OF THE ORGANIZATION IN QUESTION / SOUNDING BOARD FOR GENERAL BUSINESS STRATEGY. ALSO MAY PROVIDE INTRODUCTIONS TO CENTERS OF INFLUENCE RELATED TO THE BUSINESS. THESE CONTACTS ARE NOT UBS CLIENTS OF MINE / POTENTIAL DEALING WITH UBS? NO / START DATE 11/30/2010. 2)FALLS LANDING ENTERPRISES, LLC / 3830 FALLS LANDING DRIVE ALPHARETTA,GA 30022 / OTHER/ REAL ESTATE / BUYING AND SELLING REAL ESTATE / SOLE PROPRIETORSHIP / / BUYING AND SELLING REAL ESTAE / START DATE 03/25/2013 / 3)500 S MAIN STREET LLC / 500 MAIN STREET ALPHARETTA,GA 30009 / PARTNERSHIP/ REAL ESTATE / PROPERTY OWNER / PARTNER / / AGREE TO SALE OF PROPERTY / START DATE 10/30/2013 / 4) CONEXX / 400 Northridge Rd Atlanta,GA 30350 / Association (i.e., Trade or Industry, Sport...)/ Other US-Israel Business Association / US-Israel Business Relationships / Member of Board of Directors / / Active member in executive board decisions / Start Date 01/01/2016 / 2hr/mo 5) POINTAVIEW LLC/ Category - Partnership/ Principal Business Activity - Real estate Ownership and Management/ Role -Partner/ Duty - Manage Rental Property/Comp -Yes 6) Mark I Spieg el and Assc./ Category -Sole proprietorship/ Principal Business Activity - Marketing and Sales ( Non Financial)/ Role -Proprietor / owner/ Duty - Sales and Marketing - Software and Fractional professional Services/ Comp - Yes
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®
NoneEducation
1981 - 1983
Environmental Sciences
1972 - 1976
Experience
Past
March 3, 2009 - September 5, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
Sarasota, FL
Past
February 20, 2009 - January 2, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 17, 2003 - March 17, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
ALPHARETTA, GA
Past
May 3, 2001 - March 17, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
ALPHARETTA, GA
Past
June 19, 1984 - May 9, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
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".
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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
1200 Harbor Boulevard, Weehawken, NJ 07086
Mailing Address
315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238
Phone number
(201) 352-3000
Established
Delaware since 06/30/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
12,629
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
Company Information
UBS FINANCIAL SERVICES INC.
Senior Vice President–Wealth ManagementCRD#: 8174TRUST BUT VERIFY
Monitor Mark Spiegel
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
