BS
Bob Spivak
LIFESCI CAPITAL
NEW YORK, NY 10019
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CRD#: 6900497
BS
Professional summary
Bob Spivak is a registered financial professional currently at LIFESCI CAPITAL located in New York, New York.
Bob is registered as a RR (Registered Representative) and started their career in finance in 2021. Bob has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Bob Spivak'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®
NoneExperience
Current
June 8, 2021 - Present
LIFESCI CAPITAL
Office #1: 1700 Broadway 40th Floor, New York, NY 10019BD
CRD#: 168404
NEW YORK, NY
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
New York(3/15/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 6/8/2021
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LC
LIFESCI CAPITAL
LIFESCI CAPITAL | LIFESCI CAPITAL, LLC
CRD#: 168404 / SEC#: , 8-69305
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1700 Broadway 40th Floor, New York, NY 10019
Mailing Address
1700 Broadway 40th Floor, New York, NY 10019
Phone number
(646) 597-6987
Established
New York since 03/14/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCDONALD, ANDREW IAN | CHIEF EXECUTIVE OFFICER & OWNER | 4853168 |
| RICE, MICHAEL YEHUDA | PRESIDENT & OWNER | 1551556 |
| BENDER, STEVEN CHRISTOPHER | CFO/ FINOP | 2650187 |
| EVERTTS, ADAM GERALD | DOR - DIRECTOR OF RESERACH | 6240428 |
| KARMIOL, MICHAEL BRETT | HEAD OF CAPITAL MARKETS | 4264477 |
| VISCO, GLENN | CHIEF COMPLIANCE OFFICER | 2407619 |
Disclosures
| Regulatory Event | 1 |
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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