Howard J. Spivack

PRESTIGE WEALTH MANAGEMENT GROUP

Flemington, NJ 08822

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CRD#: 1746929

Professional summary

Howard Jeffrey Spivack, CFP®, who also goes by Jeff Spivack, H. Jeffrey Spivack, Jeffrey Spivack, is a registered financial advisor currently at PRESTIGE WEALTH MANAGEMENT GROUP, LLC located in Flemington, New Jersey and OSAIC WEALTH, INC. located in Flemington, New Jersey.

Howard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Howard has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeff Spivack | H. Jeffrey Spivack | Jeffrey Spivack

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)CFP instructor;not investment related;home address;evening online CFP instructor;instructor;2017;16 hrs/month;0 hrs during trading;instructor of Certified Financial Planner tm core curriculum 2)Prestige Wealth Management;investment related;31 State Route 12,Flemington,NJ 08822;registered investment advisor;director of financial planning;3/18/2024;160 hrs/month;130 hrs during trading;financial planning and investment operations support 3)Les Spiffy Stylos;not investment related;1949 Gregg Court,Yardley,PA;sole proprietorship;owner/woodworker;1/1/2014;10-15 hrs/month;0 hrs during trading;woodworking business,making objects for sale to customer either upon request or in advance of demand

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Howard Jeffrey Spivack'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®

CFP^®

Certified Financial Planner

Start date: 2008

Experience

Current

May 28, 2024 - Present

PRESTIGE WEALTH MANAGEMENT GROUP, LLC

Office #1: 31 State Route 12, Flemington, NJ 08822

RIA

CRD#: 127381

Flemington, NJ

Current

August 23, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 31 State Route 12, Flemington, NJ 08822

RIA

CRD#: 23131

FLEMINGTON, NJ

Past

April 17, 2024 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

FLEMINGTON, NJ

Past

February 3, 2022 - April 3, 2024

CRD#: 3248

NEW YORK, NY

Past

May 13, 1997 - May 16, 2002

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

January 22, 1996 - August 6, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 8, 1991 - October 17, 1995

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

January 4, 1990 - July 1, 1991

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

September 20, 1989 - January 1, 1990

W.H. NEWBOLD'S SON & CO., INC.

CRD#: 7575

Past

October 21, 1987 - October 7, 1989

BUTCHER & SINGER INC.

CRD#: 6517

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".

PRESTIGE WEALTH MANAGEMENT GROUP, LLC

CRD#: 127381 / SEC#: 801-72627

RIA

Registered Investment Advisory firm - (7/29/2011 Approved)

New Jersey

Registered Investment Advisory firm - (11/10/2011 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New Jersey
(5/28/2024)

New Jersey
(8/23/2024)

Pennsylvania
(8/23/2024)

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

IAR

Series 65

Date: 8/11/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/20/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/17/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 12/21/2018

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/24/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PRESTIGE WEALTH MANAGEMENT GROUP, LLC

CRD#: 127381 / SEC#: 801-72627

RIA

Registered Investment Advisory firm - (7/29/2011 Approved)

New Jersey

Registered Investment Advisory firm - (11/10/2011 Terminated)

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Contact information

Main Address

31 State Route 12, Flemington, NJ 08822

Mailing Address

Phone number

(908) 782-0001

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (3/12/2025)

ADV PART 2A - BROCHURE (3/12/2025)

Regulatory assets under management

Total Number of Accounts	1,280
AUM (Assets Under Management)	$ 599,368,606

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.

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Advisor Monitoring

Firm Stability Insights

Howard J. Spivack

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Howard Jeffrey Spivack's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

TRIAD ADVISORS LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

MAKEFIELD WEALTH MANAGEMENT LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

JANNEY MONTGOMERY SCOTT LLC

JANNEY MONTGOMERY SCOTT LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RYAN BECK & CO.

RYAN BECK & CO.

GRUNTAL & CO., L.L.C.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FIRST UNION CAPITAL MARKETS CORP.

FIRST UNION CAPITAL MARKETS CORP.

W.H. NEWBOLD'S SON & CO., INC.

BUTCHER & SINGER INC.

Primary Firm SEC Registration

PRESTIGE WEALTH MANAGEMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/11/2005

Series 63

Date: 10/20/1987

SIE

Date: 10/1/2018

Series 7

Date: 10/17/1987

Series 53

Date: 12/21/2018

Series 24

Date: 12/24/1996

FINRA

Current Firm

PRESTIGE WEALTH MANAGEMENT GROUP, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRESTIGE WEALTH MANAGEMENT GROUP, LLC

TRUST BUT VERIFY

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