David Spiegel has been an investment adviser representative at GCI Financial Group since July 2025, and is not listed among the firm’s executive officers or direct owners.
Gci Financial Group, Inc. is a Mendham, NJ firm with $145M under management, 140 clients and 3 advisers in one office, as of its June 2026 filing.
David Spiegel joined GCI Financial Group, Inc. in 2025 and leads the firm's Qualified Retirement Plan Advisory services. He entered financial services in early 1993 at Equitable, later worked as a financial consultant at AXA Advisors, became a partner in APS Pension and Financial Services in 2012, and moved to Lantern Wealth in September 2020.
David Spiegel’s longest registration was 16 years at Axa Advisors, LLC (2002–2018). Before joining GCI Financial Group in 2025, David Spiegel was registered through Lantern Wealth Advisors, LLC and Axa Advisors, LLC.
- Lantern Wealth Advisors, LLC– · 4 yearsMahwah, NJ · Adviser representative · Firm CRD 147420
- Axa Advisors, LLC– · 16 yearsMelville, NY · Adviser representative · Firm CRD 6627
Professional designations
Listed by GCI Financial Group
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
David Spiegel is registered as an investment adviser representative in New Jersey, since July 2025.
- New JerseySince 16 July 2025
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 14 January 2000 |
| Series 65 | Uniform Investment Adviser Law Examination | 28 June 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 11 May 1993 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 16 December 1992 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- David Leo Spiegel
- CRD
- 2305256
- Firm
- GCI Financial Group · CRD 124193
- Office
- Mahwah, NJ
- Registration
- Investment adviser registration
- In the industry since
- November 1994
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- gcifg.com
Where does David Spiegel work?
David Spiegel is an investment adviser representative registered through Gci Financial Group, Inc. since July 2025, and is not listed among the firm’s executive officers or direct owners.
Is David Spiegel a financial advisor?
Yes. David Spiegel has a current investment-adviser registration in New Jersey, through GCI Financial Group since July 2025.
How many years of experience does David Spiegel have?
David Spiegel has 31 years in the financial industry, since November 1994, across 3 adviser firms.
What exams has David Spiegel passed?
David Spiegel has passed 4 licensing exams: the Series 6, Series 63, Series 65 and Series 7. The earliest, the Series 6, was passed in December 1992. FINRA credited David Spiegel with the SIE, which began in October 2018.
Where did David Spiegel work before GCI Financial Group?
Before GCI Financial Group, David Spiegel was registered through Lantern Wealth Advisors, LLC, September 2020 to July 2025; Axa Advisors, LLC, July 2002 to October 2018.
Where is David Spiegel based?
David Spiegel’s registered office is in Mahwah, NJ.
Is David Spiegel registered with FINRA?
No. David Spiegel has no current broker registration.
Is David Spiegel a CFP?
GCI Financial Group lists David Spiegel with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify David Spiegel’s record?
Search CRD 2305256 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Spiegel’s full registration record.