Jay Spindel

INTE SECURITIES LLC

NEW YORK, NY 10004

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CRD#: 1839344

Professional summary

Jay Spindel is a registered financial professional currently at INTE SECURITIES LLC located in New York, New York.

Jay is registered as a RR (Registered Representative) and started their career in finance in 1988. Jay has worked at 15 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 72, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jay Spindel'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

July 2, 2020 - Present

INTE SECURITIES LLC

Office #1: 42 Broadway, Suite 12-128, New York, NY 10004

CRD#: 47107

NEW YORK, NY

Past

April 29, 2024 - May 20, 2024

IMPROVED CORPORATE FINANCE LLC

CRD#: 323683

NEW YORK, NY

Past

July 11, 2022 - March 10, 2023

CAUSEWAY SECURITIES LLC

CRD#: 315829

NEW YORK, NY

Past

March 19, 2019 - August 31, 2020

RPX SECURITIES LLC

CRD#: 297800

New York, NY

Past

December 22, 2018 - May 20, 2019

DEALER SOLUTIONS NORTH AMERICA LLC

CRD#: 286268

NEW YORK, NY

Past

December 14, 2016 - January 3, 2017

SEXTANT SECURITIES, LLC

CRD#: 283937

NEW YORK, NY

Past

January 7, 2009 - July 30, 2014

QUAD CAPITAL, LLC

CRD#: 148927

NEW YORK, NY

Past

January 7, 2008 - December 31, 2008

LIGHTHOUSE FINANCIAL GROUP, LLC

CRD#: 103734

NEW YORK CITY, NY

Past

January 3, 2005 - January 7, 2008

SCHOTTENFELD GROUP LLC

CRD#: 128103

NEW YORK, NY

Past

February 28, 2001 - January 4, 2005

NEW WINDSOR ASSOCIATES, L.P.

CRD#: 22977

NEW YORK, NY

Past

March 29, 2000 - June 27, 2000

NEW WINDSOR ASSOCIATES, L.P.

CRD#: 22977

NEW YORK, NY

Past

August 6, 1996 - June 9, 2000

SPIRIT PARTNERS, L.P.

CRD#: 36697

NEW YORK, NY

Past

August 10, 1992 - January 24, 1996

OSCAR GRUSS & SON INCORPORATED

CRD#: 2091

NEW YORK, NY

Past

January 1, 1990 - August 16, 1990

MARCUS SCHLOSS & CO., INC.

CRD#: 6032

NEW YORK, NY

Past

July 13, 1989 - December 5, 1989

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

August 23, 1988 - May 8, 1989

NESHER, INC.

CRD#: 21283

State Registrations and Notice Filings

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

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

California
(2/8/2022)

Indiana
(5/11/2022)

New York
(7/2/2020)

Exams

State Security Law Exam

Series 63

Date: 8/2/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 72

Date: 1/2/2023

Government Securities Representative Examination

General Industry/Product Exam

SIE

Date: 1/3/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/11/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/20/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/28/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

INTE SECURITIES LLC

EQUINOX SECURITIES, LLC | TRUMP SECURITIES, LLC | INTE SECURITIES LLC

CRD#: 47107 / SEC#: , 8-51667

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433

Mailing Address

7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433

Phone number

(212) 897-1694

Established

Florida since 08/14/2018

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SPINDEL, ALAN	MEMBER	6141844
SPINDEL, HOWARD	MEMBER	708042
SPINDEL, JAY	MEMBER	1839344
STUPAY, MICHAEL ELLIOT	MEMBER	2287906
STUPAY, SHELLEY	MEMBER	5570644
OBSBAUM, FREDRIC MICHAEL	CCO	1160811

Disclosures

Regulatory Event

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

Jay Spindel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jay Spindel's CRS (Customer Relationship Summary).

Certified licenses

Experience

IMPROVED CORPORATE FINANCE LLC

CAUSEWAY SECURITIES LLC

RPX SECURITIES LLC

DEALER SOLUTIONS NORTH AMERICA LLC

SEXTANT SECURITIES, LLC

QUAD CAPITAL, LLC

LIGHTHOUSE FINANCIAL GROUP, LLC

SCHOTTENFELD GROUP LLC

NEW WINDSOR ASSOCIATES, L.P.

NEW WINDSOR ASSOCIATES, L.P.

SPIRIT PARTNERS, L.P.

OSCAR GRUSS & SON INCORPORATED

MARCUS SCHLOSS & CO., INC.

J.P. MORGAN SECURITIES LLC

NESHER, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/2/2019

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

Series 72

Date: 1/2/2023

SIE

Date: 1/3/2017

Series 55

Date: 3/11/2000

Series 7

Date: 8/20/1988

Series 24

Date: 1/28/1999

FINRA

Current Firm

INTE SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INTE SECURITIES LLC

TRUST BUT VERIFY

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