Adam J. Spies
Professional summary
Adam J Spies is a registered financial professional currently at NEWMARK SECURITIES, LLC located in New York, New York.
Adam is registered as a RR (Registered Representative) and started their career in finance in 2009. Adam has worked at 4 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Adam J Spies's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 8, 2023 - Present
NEWMARK SECURITIES, LLC
Office #1: 125 Park Ave 6th And 9th Floor, New York, NY, 10017November 30, 2016 - February 23, 2023
CUSHMAN & WAKEFIELD SECURITIES, INC.
July 1, 2009 - October 13, 2016
WELLS FARGO SECURITIES, LLC
March 31, 2009 - July 1, 2009
WELLS FARGO SECURITIES, 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
(3/8/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
NEWMARK SECURITIES, LLC
CRD#: 309193 / SEC#: , 8-70554
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWMARK PARTNERS, L.P. | SOLE MEMBER | |
| DAVIS, JOSHUA | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | 7761240 |
| KUEHNEN, ERIC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 4577416 |
| PAULSON, KENNETH MICHAEL | CHIEF FINANCIAL OFFICER | 2862259 |
| SMIGEL, STEPHEN JARED | CHIEF EXECUTIVE OFFICER AND PRINCIPAL OPERATIONS OFFICER | 2401258 |
Red Flags
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