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MS

Mark H. Spizer

FENNEBRESQUE & CO.
Charlotte, NC 28211
Some features on this profile are disabled
CRD#: 6207812
MS

Professional summary

Mark Henry Spizer is a registered financial professional currently at FENNEBRESQUE & CO., LLC located in Charlotte, North Carolina.

Mark is registered as a RR (Registered Representative) and started their career in finance in 2013. Mark has worked at 1 firm and has passed the Series 63, SIE and Series 79 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 Mark Henry Spizer'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

July 22, 2013 - Present

FENNEBRESQUE & CO., LLC

Office #1: 2025 Cassamia Place, Charlotte, NC 28211
BD
CRD#: 146857
Charlotte, NC

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
North Carolina
(8/5/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 8/3/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 7/19/2013
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

F&
FENNEBRESQUE & CO., LLC
FENNEBRESQUE & CO., LLC

CRD#: 146857 / SEC#: , 8-67857

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

Main Address
2025 Cassamia Place, Charlotte, NC 28211
Mailing Address
2025 Cassamia Place, Charlotte, NC 28210
Phone number
(704) 295-8900
Established
Delaware since 01/03/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
FENNEBRESQUE & CO. HOLDINGS, LLCOWNER
FENNEBRESQUE, JOHN CLARK JRMANAGING MEMBER/MANAGING PARTNER, CCO, CFO4248387

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

FENNEBRESQUE & CO., LLC

CRD#: 146857Charlotte, NC 28211

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