Jack Spiegelman
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.
Jack Spiegelman was a registered financial advisor .
Jack is a previously registered financial advisor and started their career in finance in 1970. Jack had worked at 9 firms and has passed the Series 65, Series 63, Series 87, Series 3, Series 15, Series 5, Series 1, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2010 - June 2, 2011
TRACK DATA SECURITIES CORPORATION
May 6, 2008 - May 7, 2008
PLANNER SECURITIES LLC
October 28, 2004 - June 26, 2006
BASIS FINANCIAL, LLC
December 17, 2003 - December 8, 2010
REVERE SECURITIES LLC
July 7, 2000 - April 10, 2002
TRACK DATA SECURITIES CORPORATION
January 30, 1996 - June 24, 1997
JWGENESIS SECURITIES, INC.
April 3, 1988 - February 2, 1996
OPPENHEIMER & CO. INC.
April 1, 1988 - April 12, 1988
FAHNESTOCK INTERNATIONAL INC.
November 23, 1987 - April 1, 1988
OPPENHEIMER & CO. INC.
December 14, 1983 - December 8, 2010
REVERE SECURITIES LLC
May 9, 1979 - January 17, 1984
NORTHFIELD INVESTMENTS INC.
April 1, 1970 - December 16, 1978
JSC SECURITIES, INC.
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 15
Date: 6/12/1984
Foreign Currency Options ExaminationSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 1
Date: 5/16/1974
Registered Representative ExaminationSeries 40
Date: 3/27/1975
Registered Principal ExaminationCurrent Firm
TRACK DATA SECURITIES CORPORATION
CRD#: 103802 / SEC#: , 8-52290
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 20 |
| Arbitration | 3 |
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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