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Michael William Spencer

Marex Capital Markets Inc.

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About Michael William Spencer

Michael William Spencer is a financial professional with over 20 years of experience in the industry. Michael has been registered with Marex Capital Markets Inc. since February 15, 2018, and has held previous roles at UBS Securities LLC, E D & F MAN CAPITAL MARKETS INC., TULLETT PREBON FINANCIAL SERVICES LLC, CHAPDELAINE TULLETT PREBON, LLC, MF GLOBAL INC., ICAP SECURITIES USA LLC, REFCO SECURITIES, LLC, CARR FUTURES INC., and PRUDENTIAL SECURITIES INCORPORATED. Michael holds the Series 3, 7 and 63 licenses. Michael specializes in securities and commodities.

Firm Information

Michael Spencer is currently registered with Marex Capital Markets Inc.. Marex Capital Markets Inc. is a Corporation formed in 1952 and approved for operations in all 50 states, the District of Columbia, and Puerto Rico. The firm has an active SEC registration and has reported 42 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

71

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Michael Spencer’s Registration & Firm History

NJ

02/15/2018 - Present

Marex Capital Markets Inc. (Red Bank NJ)

NY

08/04/2015 - 12/05/2017

UBS SECURITIES LLC (NEW YORK NY)

NY

09/12/2012 - 07/09/2015

E D & F MAN CAPITAL MARKETS INC. (NEW YORK NY)

NY

06/01/2012 - 07/18/2012

TULLETT PREBON FINANCIAL SERVICES LLC (NEW YORK NY)

NY

12/05/2011 - 06/01/2012

CHAPDELAINE TULLETT PREBON, LLC (NEW YORK NY)

NY

08/30/2007 - 12/06/2011

MF GLOBAL INC. (NEW YORK NY)

NJ

11/28/2005 - 01/25/2007

ICAP SECURITIES USA LLC (JERSEY CITY NJ)

NY

04/21/2003 - 11/30/2005

REFCO SECURITIES, LLC (NEW YORK NY)

IL

01/09/2002 - 04/02/2003

CARR FUTURES INC. (CHICAGO IL)

NY

02/10/2000 - 01/08/2002

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/28/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/05/2000

Series 7 - General Securities Representative Examination

BC

Issued 08/11/1992

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Michael William Spencer.
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