Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Marc? Claim Your ProfileMarc John Spiegel is a financial advisor who has been in the industry since 1977. Marc is currently registered with Wells Fargo Clearing Services, LLC and has held previous positions with firms such as Prudential Securities Incorporated, Lehman Brothers Inc., and Merrill Lynch. Marc holds Series 5, 63, 65 and 7 licenses and has a long history of providing investment advice and financial planning services to individuals, families, and businesses. Marc is committed to helping clients reach their financial goals and providing them with personalized advice and guidance.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
10/21/2016 - Present
Wells Fargo Clearing Services, LLC (WOODLAND HILLS CA)
NY
12/14/1992 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
06/02/1980 - 12/24/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
09/26/1978 - 03/13/1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
09/26/1978 - 11/19/1979
DEAN WITTER REYNOLDS INC.
NA
10/26/1977 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 07/09/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/08/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 10/15/1977
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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