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David L. Spiegel
GCI FINANCIAL GROUP
Mahwah, NJ
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CRD#: 2305256
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Professional summary
David Leo Spiegel, CFP®, who also goes by David L Spiegel, is a registered financial advisor currently at GCI FINANCIAL GROUP located in Mahwah, New Jersey.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. David has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David L Spiegel
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.
Equitable Life. Non-Investment Related. 1000 Woodbury Road Woodbury, NY 11797. Agent offering Fixed Life and Long Term Care Insurance. 04/01/1993. Approximately 5 hours/month all of which are during securities trading hours.
Justworks. Non-Investment Related. (Insert address). Broker for the Payroll Service as of 09/01/2018.Less than one hour/month none of which is during securities trading hours.
Oxford/United Health Care. Non-Investment Related. 48 Monroe Tpke Trumbull, CT 06611. Broker offering corporate Health Insurance as of 02/01/2001. One hour/month which is not during securities trading hours.
Aetna Health Insurance. Non-Investment Related. 151 Farmington Ave Hartford, CT 06156. Broker offering corporate health insurance as of 02/01/2001. One hour/month which is not during securities trading hours.
1-1-2000 health insurance broker, united healthcare(oxford), Aetna, Bluecross, and healthpassNY. refer clients to justworks PEO.
also sell fixed life products through equitable network and other life insurance companies.
CRS (Client Relationship Summary) - RIA
Click below to view David Leo Spiegel's 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®
Start date: 2004
Experience
Current
July 16, 2025 - Present
GCI FINANCIAL GROUP
RIA
CRD#: 124193
Mahwah, NJ
Past
September 14, 2020 - July 1, 2025
LANTERN WEALTH ADVISORS, LLC
RIA
CRD#: 147420
Mahwah, NJ
Past
July 30, 2002 - October 19, 2018
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
MELVILLE, NY
Past
December 21, 1992 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
December 21, 1992 - October 19, 2018
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
MELVILLE, NY
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".
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GCI FINANCIAL GROUP
GCI FINANCIAL GROUP | GCI WEALTH ADVISORS | GCI INSURANCE SERVICES | GCI GROUP BENEFITS | GCI FINANCIAL GROUP, INC.
CRD#: 124193 / SEC#: 801-131018
RIA
Registered Investment Advisory firm - (9/3/2024 Approved)Colorado
Registered Investment Advisory firm - (9/17/2024 Terminated)Connecticut
Registered Investment Advisory firm - (9/18/2024 Terminated)District of Columbia
Registered Investment Advisory firm - (11/16/2020 Terminated)Florida
Registered Investment Advisory firm - (9/12/2024 Terminated)Maryland
Registered Investment Advisory firm - (9/19/2024 Terminated)Massachusetts
Registered Investment Advisory firm - (9/12/2024 Terminated)New Jersey
Registered Investment Advisory firm - (9/16/2024 Terminated)New York
Registered Investment Advisory firm - (9/12/2024 Terminated)North Carolina
Registered Investment Advisory firm - (11/16/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/16/2024 Terminated)South Carolina
Registered Investment Advisory firm - (11/12/2018 Terminated)West Virginia
Registered Investment Advisory firm - (12/2/2014 Terminated)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.Highlighted states indicate IAR registrations
IAR
New Jersey(7/16/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
GF
GCI FINANCIAL GROUP
GCI FINANCIAL GROUP | GCI WEALTH ADVISORS | GCI INSURANCE SERVICES | GCI GROUP BENEFITS | GCI FINANCIAL GROUP, INC.
CRD#: 124193 / SEC#: 801-131018
RIA
Registered Investment Advisory firm - (9/3/2024 Approved)Colorado
Registered Investment Advisory firm - (9/17/2024 Terminated)Connecticut
Registered Investment Advisory firm - (9/18/2024 Terminated)District of Columbia
Registered Investment Advisory firm - (11/16/2020 Terminated)Florida
Registered Investment Advisory firm - (9/12/2024 Terminated)Maryland
Registered Investment Advisory firm - (9/19/2024 Terminated)Massachusetts
Registered Investment Advisory firm - (9/12/2024 Terminated)New Jersey
Registered Investment Advisory firm - (9/16/2024 Terminated)New York
Registered Investment Advisory firm - (9/12/2024 Terminated)North Carolina
Registered Investment Advisory firm - (11/16/2016 Terminated)Pennsylvania
Registered Investment Advisory firm - (9/16/2024 Terminated)South Carolina
Registered Investment Advisory firm - (11/12/2018 Terminated)West Virginia
Registered Investment Advisory firm - (12/2/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5 Cold Hill Road South Suite 23, Mendham, NJ 07945
Mailing Address
5 Cold Hill Road South Suite 23, Mendham, NJ 07945
Phone number
(973) 543-2133
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 420 |
| AUM (Assets Under Management) | $ 105,103,169 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
