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DS

Donald M. Spitzer

Some features on this profile are disabled
CRD#: 2726342
DS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Donald Mack Spitzer was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 1996. Donald had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 11, 2007 - January 2, 2019

TWG SECURITIES, INC.

BD
CRD#: 143626
CHICAGO, IL
Past

April 16, 1996 - September 27, 2007

AON SECURITIES LLC

BD
CRD#: 4138
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/16/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/15/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/31/2007
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/6/1996
General Securities Principal Examination

Current Firm

TS
TWG SECURITIES, INC.
TWG SECURITIES, INC.

CRD#: 143626 / SEC#: , 8-67585

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
175 W. Jackson Blvd. Suite 810, Chicago, IL 60604
Mailing Address
175 W Jackson Blvd. Suite 810, Chicago, IL 60604
Phone number
(312) 356-3000
Established
Delaware since 02/27/2007
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TWG HOLDINGS, INC.100% OWNER
BEHLES, CRYSTAL GAYLEVICE PRESIDENT, SECRETARY5359774
BROWN, SCOTTFINOP, PRINCIPAL FINANCIAL OFFICER6694802
PARROTT, MICHAEL DANETREASURER6036805
WILSON, KORTNEY ROSSPRESIDENT, CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER5153931

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.

Company Information

TWG SECURITIES, INC.

CRD#: 143626

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