Joshua G. Spiewak
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.
Joshua Glenn Spiewak was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 1997. Joshua had worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2003 - June 30, 2026
BTIG, LLC
June 2, 2003 - November 5, 2003
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
September 9, 2002 - January 30, 2003
GOLDMAN SACHS & CO. LLC
December 13, 1999 - September 9, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
September 4, 1998 - January 24, 2000
MORGAN STANLEY DW INC.
November 10, 1997 - September 23, 1998
GRUNTAL & CO., L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/6/2000
Limited Representative-Equity Trader ExamCurrent Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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