HS
Howard Spindel
INTE SECURITIES
BOCA RATON, FL
·CRD# 708042·46 years experienceProfessional Summary
Howard Spindel, who also goes by Howie Spindel, is a registered financial advisor currently at INTE SECURITIES LLC located in Boca Raton, Florida and MIDDLEGATE SECURITIES INC. located in New York, New York. Howard is registered as a RR (Registered Representative) and started their career in finance in 1980. Howard has worked at 142 firms and has passed the Series 63, Series 62, Series 99TO, Series 57TO, Series 79TO, SIE, Series 55, Series 7, Series...
At a Glance
Best-Interest Standard
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Howie Spindel
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
46 years in the financial services industry
Current & Past Employments
INTE SECURITIES LLC·CRD# 47107
7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433BD
MIDDLEGATE SECURITIES INC.·CRD# 21544
8 West 40th Street 4th Floor, New York, NY 10018-3805BD
WYSER-PRATTE & CO., INC.·CRD# 28056
1. 100 S. Bedford Road, Suite 312, Mt. Kisco, NY 105492. 100 S. Bedford Road, Suite 312, Mt. Kisco, NY 10549BD
VIEW PARTNERS CAPITAL LLC·CRD# 146522
1345 Avenue Of The Americas 2nd Floor, New York, NY 10105BD
P. A. N. SECURITIES, LP·CRD# 104823
1. 45 Glover Avenue 7th Floor, Norwalk, CT, 068502. 45 Glover Avenue 7th Floor, Norwalk, CT 06850BD
TAP SECURITIES LLC·CRD# 151593
505 Park Avenue Fl 9, New York, NY 10022BD
PENTEGRA DISTRIBUTORS INC.·CRD# 26249
2 Enterprise Drive Suite 408, Shelton, CT 06484BD
EULAV SECURITIES LLC·CRD# 156396
1605 Main Street Suite 912, Sarasota, FL 34236BD
SURYA CAPITALE SECURITIES LLC·CRD# 159173
55 Wall Street, Suite 530b, New York, NY 10005BD
BRIGHTTOWER SECURITIES LLC·CRD# 318266
1. 41 Madison Avenue 32nd Floor, New York, NY, 100102. 41 Madison Avenue 32nd Floor, New York, NY, 10010BD
PHOENIX IB·CRD# 132710
610 E. Baltimore Pike, Media, PA 19063BD
AGM SECURITIES LLC·CRD# 132197
7000 W Palmetto Park Rd, Suite 503 Suite 12-129, Boca Raton, FL 33433BD
GLOBAL PACIFIC SECURITIES US, INC.·CRD# 304566
19 W. 26th Street 4th Floor, New York, NY 10010BD
KIWOOM SECURITIES (USA) INC.·CRD# 31977
650 Fifth Avenue, Suite 2440, New York, NY 10019BD
DAM CAPITAL (USA) INC.·CRD# 154945
7000 W Palmetto Park Rd. Suite 503, Boca Raton, FL 33433BD
SERENDIPITY SECURITIES LLC·CRD# 333010
7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433BD
BAYRIDGE SECURITIES, LLC·CRD# 155765
San Francisco, CABD
MMM SECURITIES LLC·CRD# 318021
Boca Raton, FLBD
ANCORIS SECURITIES LLC·CRD# 305279
New York, NYBD
SNOWDEN ACCOUNT SERVICES LLC·CRD# 149794
New York, NYBD
SEB SECURITIES, INC.·CRD# 23710
New York, NYBD
ZEBED SECURITIES, LLC·CRD# 166469
New York, NYBD
SEXTANT SECURITIES, LLC·CRD# 283937
New York, NYBD
COMMONWEALTH AUSTRALIA SECURITIES LLC·CRD# 136321
New York, NYBD
CLEARPOOL EXECUTION SERVICES, LLC·CRD# 168490
New York, NYBD
ZANBATO SECURITIES LLC·CRD# 279028
Mountain View, CABD
16 POINTS LLC·CRD# 277033
Vega Alta, PRBD
OCEAN TOMO INVESTMENT GROUP, LLC·CRD# 172912
New York, NYBD
OLD SLIP CAPITAL MANAGEMENT, INC.·CRD# 7360
New York, NYBD
ZEBED SECURITIES, LLC·CRD# 166469
New York, NYBD
REUTERS TRANSACTION SERVICES LLC·CRD# 13245
New York, NYBD
DAM CAPITAL (USA) INC.·CRD# 154945
New York, NYBD
FATOR SECURITIES LLC·CRD# 142008
New York, NYBD
ALDWYCH SECURITIES LLC·CRD# 167980
New York, NYBD
GOTTEX BROKERS ALTERNATIVE USA INC.·CRD# 159849
New York, NYBD
MARWOOD GROUP RESEARCH·CRD# 147316
New York, NYBD
MARWOOD GROUP·CRD# 117015
New York, NYBD
IIP SECURITIES LLC·CRD# 158968
New York, NYBD
DAM CAPITAL (USA) INC.·CRD# 154945
Boca Raton, FLBD
TRADEWORX SECURITIES LLC·CRD# 129925
Red Bank, NJBD
RB INTERNATIONAL MARKETS (USA) LLC·CRD# 156031
New York, NYBD
SOFI SECURITIES LLC·CRD# 151717
New York, NYBD
FOGEL NEALE SECURITIES, LLC·CRD# 153152
New York, NYBD
DVB CAPITAL MARKETS LLC·CRD# 138349
New York, NYBD
PIERPONT CAPITAL ADVISORS LLC·CRD# 108424
New York, NYBD
FOREST ROAD SECURITIES BD LLC·CRD# 148232
New York, NYBD
CONSOLIDATED RESEARCH LLC·CRD# 124156
New York, NYBD
EULAV SECURITIES, INC.·CRD# 848
New York, NYBD
LATOUR TRADING LLC·CRD# 150887
New York, NYBD
PARAMOUNT BIOCAPITAL, INC.·CRD# 29795
New York, NYBD
ACER INVESTMENT GROUP, LLC·CRD# 107062
Bonita Springs, FLBD
ABRAMSON FINANCIAL, LLC·CRD# 129966
Livingston, NJBD
MOELIS & COMPANY LLC·CRD# 145115
New York, NYBD
CREDICORP CAPITAL LLC·CRD# 136791
Miami, FLBD
UNICREDIT CAPITAL MARKETS LLC·CRD# 7789
New York, NYBD
ELECTRONIC GLOBAL SECURITIES, INC.·CRD# 47584
New York, NYBD
WYNSTON HILL CAPITAL, LLC·CRD# 103811
New York, NYBD
AGM SECURITIES LLC·CRD# 132197
New York, NYBD
AMBER MOUNTAIN INVESTMENTS, LLC·CRD# 127784
Chicago, ILBD
THE TRANSPORTATION GROUP (SECURITIES) LIMITED·CRD# 24329
New York, NYBD
ICP SECURITIES LLC·CRD# 133436
New York, NYBD
JOSEPH CAPITAL, LLC·CRD# 120414
San Juan, PRBD
XTF MARKET MAKING LLC·CRD# 104308
New York, NYBD
ADVANTAGE FINANCIAL PRIVATE & CORPORATE LLC·CRD# 31974
New York, NYBD
WYNSTON HILL CAPITAL, LLC·CRD# 103811
Brandon, SDBD
SEB SECURITIES, INC.·CRD# 23710
New York, NYBD
BRYANT PARK CAPITAL SECURITIES, INC.·CRD# 20433
Blue Bell, PABD
ENCLAVE CAPITAL LLC·CRD# 22732
Miami, FLBD
JAS SECURITIES, LLC·CRD# 41804
New York, NYBD
SAPENO INC.·CRD# 124769
New York, NYBD
OXFORD CAPITAL SECURITIES·CRD# 47292
New York, NYBD
PINNACLE GROUP SECURITIES, LLC·CRD# 119835
Southport, CTBD
INTERNATIONAL CORRESPONDENT TRADING, INC.·CRD# 37401
Hackensack, NJBD
GRAMERCY FINANCIAL SERVICES LLC·CRD# 104302
Greenwich, CTBD
CDK FINANCIAL SERVICES, LLC·CRD# 124333
New York, NYBD
UNICREDIT CAPITAL MARKETS LLC·CRD# 7789
New York, NYBD
AMSTAR DISTRIBUTORS, INC.·CRD# 122925
New York, NYBD
SARATOGA CAPITAL MARKETS·CRD# 120888
New York, NYBD
MARATHON CAPITAL MARKETS, LLC·CRD# 103767
Chicago, ILBD
FINANCIAL CONSULTANT GROUP, LLC·CRD# 25644
Chatham, NJBD
GERSON LEHRMAN GROUP BROKERAGE SERVICES LLC·CRD# 111566
New York, NYBD
KAMCO SECURITIES, INC.·CRD# 22410
Bernardsville, NJBD
D/B/A CLARKSONS PLATOU SECURITIES·CRD# 113325
New York, NYBD
RIDGEWOOD SECURITIES CORPORATION·CRD# 15453
Montvale, NJBD
A.J. PACE & CO., INC.·CRD# 24228
New York, NYBD
KAMCO SECURITIES, INC.·CRD# 22410
Bernardsville, NJBD
FURTHER LANE SECURITIES, L.P.·CRD# 38162
New York, NYBD
HERMITAGE CAPITAL CORPORATION·CRD# 20509
New York, NYBD
SOLID ISG CAPITAL MARKETS, LLC·CRD# 39375
New York, NYBD
BDO CAPITAL ADVISORS, LLC·CRD# 109679
Chicago, ILBD
FIS BROKERAGE & SECURITIES SERVICES LLC·CRD# 104162
Bolingbrook, ILBD
TAYLOR STUART FINANCIAL, INC.·CRD# 39025
Great Neck, NYBD
EDUCATION SECURITIES, INC.·CRD# 38026
Reston, VABD
HEYKA CAPITAL MARKETS, INC.·CRD# 31571
Armonk, NYBD
DBC SECURITIES, INC.·CRD# 30894
West Orange, NJBD
BRI SECURITIES, INC.·CRD# 43611
New York, NYBD
ROBERT R. MEREDITH & CO., INC.·CRD# 29501
New York, NYBD
VASILIOU & COMPANY, INC.·CRD# 18454
Miami Beach, FLBD
GEMINI FINANCIAL CORPORATION·CRD# 34626
New York, NYBD
HYPO SECURITIES INC.·CRD# 35202
New York, NYBD
WESTON CAPITAL MARKETS INC.·CRD# 32911
New York, NYBD
JOBARR SECURITIES CORPORATION·CRD# 10187
New York, NYBD
D. H. BLAIR & CO., INC.·CRD# 6833
New York, NYBD
SOLID ISG CAPITAL MARKETS, LLC·CRD# 39375
New York, NYBD
E*TRADE GLOBAL ASSET MANAGEMENT, INC.·CRD# 42890
Arlington, VABD
BURSAMEX INC.·CRD# 29385
New York, NYBD
HARVEST CAPITAL INVESTMENTS LLC·CRD# 40367
Vienna, VABD
FIS SECURITIES, INC.·CRD# 30533
Boston, MABD
SOLID ISG CAPITAL MARKETS, LLC·CRD# 39375
New York, NYBD
CORINTHIAN PARTNERS, L.L.C.·CRD# 38912
New York, NYBD
FLEET ENTERPRISES, INC.·CRD# 17434
New York, NYBD
BANORTE SECURITIES INTERNATIONAL, LTD.·CRD# 30648
Houston, TXBD
MERRION SECURITIES, LLC·CRD# 30145
Westfield, NJBD
WORLDSEC INTERNATIONAL SECURITIES INC.·CRD# 36328
New York, NYBD
FINANCIAL CONSULTANT GROUP, LLC·CRD# 25644
Chatham, NJBD
RGR FINANCIAL CORP.·CRD# 40898
Freehold, NJBD
BURSAMEX INC.·CRD# 29385
New York, NYBD
BUYANDHOLD SECURITIES CORPORATION·CRD# 36818
Edison, NJBD
TRADITION SECURITIES AND DERIVATIVES LLC·CRD# 28269
New York, NYBD
THE TRANSPORTATION GROUP (SECURITIES) LIMITED·CRD# 24329
New York, NYBD
VAN LANSCHOT KEMPEN (USA) INC.·CRD# 38760
New York, NYBD
TULLETT PREBON FINANCIAL SERVICES LLC·CRD# 28196
New York, NYBD
WEALTH PRESERVATION ASSOCIATES, LLC·CRD# 35277
New York, NYBD
CROSSLAND INVESTOR SERVICES CORP.·CRD# 23677
BD
SUPPES SECURITIES, INC.·CRD# 13722
Nyc, NYBD
BROOKE SECURITIES, INC.·CRD# 19609
New York, NYBD
SPIRIT PARTNERS, L.P.·CRD# 36697
New York, NYBD
STORMHARBOUR SECURITIES LP·CRD# 35997
New York, NYBD
MMG FINANCIAL SERVICES, LTD.·CRD# 28251
New York, NYBD
GABELLI DIRECT INC.·CRD# 19138
Rye, NYBD
SSC NY CORP.·CRD# 29804
New York, NYBD
ROAN CAPITAL PARTNERS L.P.·CRD# 33063
New York, NYBD
EASTON & CO.·CRD# 11290
Fort Lee, NJBD
PAN AMERICAN SECURITIES, INC.·CRD# 20681
BD
TFS DERIVATIVES LLC·CRD# 30395
New York, NYBD
SOLOMON PARTNERS SECURITIES, LLC·CRD# 28041
New York, NYBD
KBL HEALTHCARE INC·CRD# 29265
New York, NYBD
THOMSON INSTITUTIONAL SERVICES INC.·CRD# 26653
New York, NYBD
POWELL CAPITAL MARKETS, INC.·CRD# 28328
Roseland, NJBD
WYSER-PRATTE & CO., INC.·CRD# 28056
Mt. Kisco, NYBD
PHOENIX DERIVATIVES GROUP, LLC·CRD# 25802
New York, NYBD
CHELA TECHNOLOGY PARTNERS, LLC·CRD# 21600
New York, NYBD
TALLWOOD ASSOCIATES, INC.·CRD# 26527
BD
D. BLECH & COMPANY, INCORPORATED·CRD# 26063
New York, NYBD
CAPITAL HILL GROUP, INC.·CRD# 10323
Austin, TXBD
THOMSON INSTITUTIONAL SERVICES INC.·CRD# 26653
New York, NYBD
JOSEPH GUNNAR & CO. LLC·CRD# 24795
Uniondale, NYBD
THE BENCHMARK COMPANY, INC.·CRD# 24534
New York, NYBD
M.J. LOESER & CO., INC.·CRD# 24336
BD
A.J. PACE & CO., INC.·CRD# 24228
New York, NYBD
BERSEC INTERNATIONAL CORPORATION·CRD# 23530
BD
NESHER, INC.·CRD# 21283
BD
TULLETT & TOKYO SECURITIES, INC.·CRD# 19595
BD
BNY BROKERAGE, INC.·CRD# 17481
BD
MEYERS POLLOCK ROBBINS, INC.·CRD# 13436
BD
GREENFIELD PARTNERS·CRD# 10637
BD
HALCYON INVESTMENTS·CRD# 10437
BD
S. B. LEWIS & COMPANY·CRD# 8221
BD
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Current Firm
SS
SERENDIPITY SECURITIES LLCCRD#: 333010 / SEC#: 8-71292
SERENDIPITY SECURITIES LLC
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
Contact Information
Main Address
7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433Mailing Address
7000 W Palmetto Park Road Suite 503, Boca Raton, FL 33433Phone Number
(212) 897-1690Established
Florida since 09/20/2018Firm Type
Limited Liability CompanyFiscal Year End
JuneFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
RR
Alabama(9/19/2016)
RR
Alaska(6/28/2016)
RR
Arkansas(7/8/2016)
RR
Connecticut(3/11/2022)
RR
District of Columbia(8/5/2026)
RR
Florida(11/20/2018)
RR
Georgia(10/13/2016)
RR
Hawaii(9/6/2016)
RR
Idaho(4/28/2016)
RR
Kansas(10/10/2016)
RR
Maine(5/11/2018)
RR
Montana(10/5/2016)
RR
Nebraska(7/12/2016)
RR
New Hampshire(9/19/2017)
RR
New Mexico(10/4/2016)
RR
New York(4/6/2006)
RR
North Dakota(8/30/2016)
RR
Oregon(2/3/2017)
RR
Puerto Rico(10/6/2016)
RR
South Dakota(6/7/2016)
RR
Tennessee(9/28/2016)
RR
Texas(5/5/2016)
RR
Utah(4/27/2016)
RR
Vermont(10/11/2016)
RR
Virgin Islands(3/9/2020)
RR
Washington(3/3/2025)
RR
West Virginia(10/20/2016)
RR
Wisconsin(10/14/2016)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Jan 2023Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Mar 2000FINRA
SRO Registrations
SRO Registrations
FINRA
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Howard Spindel's CRS (Customer Relationship Summary).
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