Jay S. Spivak

SPIVAK ASSET MANAGEMENT

Avon, CT 06001

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CRD#: 2763969

Professional summary

Jay Stuart Spivak is a registered financial advisor currently at SPIVAK ASSET MANAGEMENT, LLC located in Avon, Connecticut.

Jay is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Jay has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Jay Stuart Spivak'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

June 25, 1996 - Present

SPIVAK ASSET MANAGEMENT, LLC

Office #1: 172 West Main Street, Avon, CT 06001

RIA

CRD#: 125714

Avon, CT

Past

June 25, 1996 - December 31, 2004

SPIVAK ASSET MANAGEMENT, LLC

RIA

CRD#: 125714

AVON, CT

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".

SPIVAK ASSET MANAGEMENT, LLC

CRD#: 125714 / SEC#: 801-81096

RIA

Registered Investment Advisory firm - (3/10/2015 Approved)

Connecticut

Registered Investment Advisory firm - (3/17/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Connecticut
(6/25/1996)

IAR

Texas
(3/7/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/28/1996

Uniform Investment Adviser Law Examination

Current Firm

SPIVAK ASSET MANAGEMENT, LLC

CRD#: 125714 / SEC#: 801-81096

RIA

Registered Investment Advisory firm - (3/10/2015 Approved)

Connecticut

Registered Investment Advisory firm - (3/17/2015 Terminated)

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Contact information

Main Address

172 West Main Street, Avon, CT 06001

Mailing Address

Phone number

(860) 676-9756

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SPIVAK ASSET MANAGEMENT, LLC ADV PART 2 (3/10/2025)

Regulatory assets under management

Total Number of Accounts	65
AUM (Assets Under Management)	$ 392,501,583

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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Jay S. Spivak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

SPIVAK ASSET MANAGEMENT, LLC

SPIVAK ASSET MANAGEMENT, LLC

Primary Firm SEC Registration

SPIVAK ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/28/1996

Current Firm

SPIVAK ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPIVAK ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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