Marc A. Specht
PERIGON WEALTH MANAGEMENT | Wealth Advisor
NEW YORK, NY 10122
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CRD#: 5846133
Professional summary
Marc Adam Specht, AIF® is a registered financial advisor currently at PERIGON WEALTH MANAGEMENT, LLC located in New York, New York and PURSHE KAPLAN STERLING INVESTMENTS located in New York, New York.
Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Marc has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Financial planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
250K
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.
(1.) PM Risk Management; Not investment related; 14 Penn Plaza, 18th Floor, New York, NY 10122; Limited liability company created for insurance sales; Licensed Insurance Agent and Owner; Started 11/2010. Approximately 20 hours/month during securities trading hours; Implementation of insurance sales. (2.) Insurance; Not investment related; 14 Penn Plaza, 18th Floor, New York, NY 10122; Insurance Agent; Start 11/2010; Approximately 20 hours/month during securities trading hours (same hours as PM Risk Management) (3.) PM Wealth Management; Investment Related; 14 Penn Plaza, 18th Floor, New York, NY 10122; d/b/a name for investment advisory business with Perigon Wealth Management. (4.) Mr. Specht is dually-registered with Perigon Wealth Management, LLC ("Perigon") and Purshe Kaplan Sterling Investments, Inc. ("PKS"). Mr. Specht has served as an investment advisor representative for Perigon since 11/2022 and as a registered representative with PKS since 1/2023. Business is conducted from 14 Penn Plaza, 18th Floor, New York, NY 10122. Approximately 90% of Mr. Specht's time is spent in an investment advisor representative capacity and the balance as a registered representative.
CRS (Client Relationship Summary) - RIA
Click below to view Marc Adam Specht's 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®
Experience
Current
November 15, 2022 - Present
PERIGON WEALTH MANAGEMENT, LLC
Office #1: 14 Penn Plaza Suite 1316, New York, NY 10122RIA
CRD#: 131037
NEW YORK, NY
Current
January 17, 2023 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 14 Penn Plaza 18th Floor, New York, NY 10122BD
CRD#: 35747
New York, NY
Past
March 19, 2019 - December 31, 2022
PM WEALTH MANAGEMENT, LLC
RIA
CRD#: 298324
NEW YORK, NY
Past
October 2, 2015 - March 14, 2019
PRIVATE ADVISOR GROUP, LLC
RIA
CRD#: 155216
New York, NY
Past
September 30, 2015 - November 22, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
NEW YORK, NY
Past
December 12, 2011 - October 12, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
NEW YORK, NY
Past
October 20, 2010 - December 19, 2011
WILBANKS SECURITIES, INC.
BD
CRD#: 40673
NEW YORK, NY
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".
PW
PERIGON WEALTH MANAGEMENT, LLC
ANTHEM ADVISORS | WEALTH ADVISORS | STAKEHOLDERS CAPITAL | PRUDEO PARTNERS | PM WEALTH MANAGEMENT | PERIGON WEALTH MANAGEMENT, LLC | COLLABORATION CAPITAL | COGNIZANT WEALTH ADVISORS | BURLESON & COMPANY | BLUE WATER CAPITAL MANAGEMENT | ANTHEM WEALTH PARTNERS
CRD#: 131037 / SEC#: 801-62988
RIA
Registered Investment Advisory firm - (4/7/2004 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/17/2023)
RR
Connecticut(1/17/2023)
RR
District of Columbia(1/17/2023)
RR
Florida(1/17/2023)
RR
Georgia(1/17/2023)
RR
Massachusetts(1/17/2023)
RR
New Jersey(1/17/2023)
IAR
New York(11/15/2022)
RR
New York(1/17/2023)
IAR
Texas(11/16/2022)
RR
Virginia(9/19/2024)
RR
Washington(3/6/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PW
PERIGON WEALTH MANAGEMENT, LLC
ANTHEM ADVISORS | WEALTH ADVISORS | STAKEHOLDERS CAPITAL | PRUDEO PARTNERS | PM WEALTH MANAGEMENT | PERIGON WEALTH MANAGEMENT, LLC | COLLABORATION CAPITAL | COGNIZANT WEALTH ADVISORS | BURLESON & COMPANY | BLUE WATER CAPITAL MANAGEMENT | ANTHEM WEALTH PARTNERS
CRD#: 131037 / SEC#: 801-62988
RIA
Registered Investment Advisory firm - (4/7/2004 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
201 Mission Street Suite 1825, San Francisco, CA 94105
Mailing Address
Phone number
(877) 977-2555
Established
Firm type
Fiscal year end
# of Employees
141
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,456 |
| AUM (Assets Under Management) | $ 8,714,418,958 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2024 | ||
| 10/24/2023 |
Red Flags
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Company Information
PERIGON WEALTH MANAGEMENT, LLC
Wealth AdvisorCRD#: 131037New York, NY 10122TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
