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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2006-04-28 |
Branch Locations
2811 Ponce De Leon Boulevard Suite 900, Coral Gables, FL 33134 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fahnestock & Co. Inc. | Miami | FL | 01/2003 | Present |
1.ACTING AS TRUSTEE-STANLEY SPIELER RESTATED TRUST 2.ACTING AS TRUSTEE-BETTY SPIELER RESTATED TRUST 3.I SERVE AS TRUSTEE ALONG WITH MY BROTHER GREGG SPIELER AND SISTER LISA HERMAN. I ALSO SERVE AS BROKER/FA FOR THE ACCOUNT.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-04-26 |
| S63 | Uniform Securities Agent State Law Examination | 1982-11-23 |
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