Gary A. Spivak
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.
Gary Alan Spivak was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1999. Gary had worked at 5 firms and has passed the Series 63, Series 87, Series 86, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2010 - February 21, 2012
NOBLE CAPITAL MARKETS, INC.
August 31, 2009 - January 21, 2010
NEWBRIDGE SECURITIES CORPORATION
May 25, 2004 - March 23, 2009
STANFORD GROUP COMPANY
April 25, 2003 - May 27, 2004
KAUFMAN BROS., L.P.
May 4, 1999 - November 1, 2002
SOUNDVIEW TECHNOLOGY CORPORATION
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
Current Firm
NOBLE CAPITAL MARKETS, INC.
CRD#: 15768 / SEC#: , 8-32706
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 11 |
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.
