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TS

Thomas A. Spiegel

PCF CAPITAL MARKETS LLC
BOSTON, MA 02111
Some features on this profile are disabled
CRD#: 5950224
TS

Professional summary

Thomas Andrew Spiegel is a registered financial professional currently at PCF CAPITAL MARKETS LLC located in Boston, Massachusetts.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2019. Thomas has worked at 2 firms and has passed the Series 63, Series 52TO, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Andrew Spiegel'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®
None

Experience

Current

April 28, 2021 - Present

PCF CAPITAL MARKETS LLC

Office #1: One Financial Center 21st Floor, Boston, MA 02111
BD
CRD#: 290765
BOSTON, MA
Past

September 16, 2019 - April 6, 2021

B. C. ZIEGLER AND COMPANY

BD
CRD#: 61
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Massachusetts
(4/25/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/4/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 11/13/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 9/16/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/26/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PCF CAPITAL MARKETS LLC
PCF CAPITAL MARKETS LLC

CRD#: 290765 / SEC#: , 8-70040

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Financial Center 21st Floor, Boston, MA 02111
Mailing Address
2016 Ocean Street Mail Box 5, Marshfield, MA 02050
Phone number
(617) 367-0099
Established
Massachusetts since 02/09/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PROVIDENT HEALTHCARE PARTNERS LLCOWNER
FLYNN, PETER FRANCISFINOP2655124
MCKEON, PATRICK WILLIAMCHIEF COMPLIANCE OFFICER

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.

Company Information

PCF CAPITAL MARKETS LLC

CRD#: 290765Boston, MA 02111

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