Michael W. Spencer
Professional summary
Michael William Spencer, who also goes by Michael Spencer, is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in Red Bank, New Jersey.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2000. Michael has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael William Spencer's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 15, 2018 - Present
MAREX CAPITAL MARKETS INC.
Office #1: 322 Nj-35 2nd Floor, Red Bank, NJ 07701August 4, 2015 - December 5, 2017
UBS SECURITIES LLC
September 12, 2012 - July 9, 2015
MAREX CAPITAL MARKETS INC.
June 1, 2012 - July 18, 2012
TULLETT PREBON FINANCIAL SERVICES LLC
December 5, 2011 - June 1, 2012
CHAPDELAINE TULLETT PREBON, LLC
August 30, 2007 - December 6, 2011
MF GLOBAL INC.
November 28, 2005 - January 25, 2007
ICAP SECURITIES USA LLC
April 21, 2003 - November 30, 2005
REFCO SECURITIES, LLC
January 9, 2002 - April 2, 2003
NEWEDGE FINANCIAL INC.
February 10, 2000 - January 8, 2002
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/15/2018)
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(2/15/2018)
(2/15/2018)
(2/15/2018)
(9/26/2018)
(2/15/2018)
(2/15/2018)
(2/15/2018)
(2/15/2018)
Exams
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
Red Flags
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