John M. Spiegel
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.
John Matthew Spiegel, who also goes by John Spiegel, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2018 - September 17, 2019
DINOSAUR FINANCIAL GROUP, L.L.C
March 26, 2015 - June 7, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 18, 2015 - June 7, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 9, 1999 - June 12, 2007
ROSENTHAL GLOBAL SECURITIES LLC
February 6, 1995 - September 10, 1999
CANTOR FITZGERALD & CO.
September 30, 1991 - November 10, 1999
CANTOR FITZGERALD SECURITIES
July 25, 1987 - March 22, 1990
INTERCAPITAL GOVERNMENT SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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