Herbert G. Spielman
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.
Herbert Gerald Spielman, who also goes by Herbert G Spielman, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1970. Herbert had worked at 10 firms and has passed the Series 63, Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2006 - December 31, 2013
INVESTORS CAPITAL CORP.
November 5, 1992 - November 14, 2006
AEGIS CAPITAL CORP.
September 20, 1991 - October 5, 1992
SECO WEST LIMITED
February 18, 1986 - July 5, 1990
WOODMERE SECURITIES, INC.
November 22, 1977 - February 6, 1986
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
February 27, 1976 - April 22, 1976
BACHE & CO INCORPORATED
January 14, 1976 - November 17, 1976
SHEARSON HAYDEN STONE INC.
December 27, 1973 - February 27, 1976
BACHE & CO., INCORPORATED
September 25, 1970 - January 7, 1974
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 1
Date: 2/9/1970
Registered Representative ExaminationCurrent Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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