Howard Spivack has been Director of Financial Planning of Prestige Wealth Management Group since March 2024, is a control person of the firm and directly owns under 5% of it.
Prestige Wealth Management Group, LLC is a Flemington, NJ firm with $666M under management, 440 clients and 4 advisers across 4 offices, as of its March 2026 filing.
Howard Spivack’s longest registration was 7 years at Janney Montgomery Scott LLC (2008–2015).
- – · 1 yearFlemington, NJ · Adviser representative · Firm CRD 127381
- Citizens Securities, Inc.– · 2 yearsWestwood, MA · Adviser representative · Firm CRD 39550
- Makefield Wealth Management LLC– · 1 yearYardley, PA · Adviser representative · Firm CRD 305629
- MML Investors Services, LLC– · 1 yearBala Cynwyd, PA · Adviser representative · Firm CRD 10409
- Vanguard Advisers Inc– · under a yearMalvern, PA · Adviser representative · Firm CRD 106715
- Janney Montgomery Scott LLC– · 7 yearsPhiladelphia, PA · Adviser representative · Firm CRD 463
- Stifel, Nicolaus & Company, Incorporated– · under a yearNew York, NY · Adviser representative · Firm CRD 793
- Ryan Beck & Co.– · 2 yearsNew York, NY · Adviser representative · Firm CRD 3248
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 53 | Municipal Securities Principal Examination | 21 December 2018 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 11 August 2005 |
| Series 24 | General Securities Principal Examination | 24 December 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 20 October 1987 |
| Series 7 | General Securities Representative Examination | 17 October 1987 |
- Name
- Municipal Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Howard Jeffrey Spivack
- CRD
- 1746929
- Firm
- Prestige Wealth Management Group · CRD 127381
- Role
- Director of Financial Planning
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Howard Spivack work?
Howard Spivack has been Director of Financial Planning of Prestige Wealth Management Group, LLC since March 2024, and is a control person of the firm.
Does Howard Spivack have a current investment-adviser registration?
Howard Spivack has no current investment-adviser or broker registration.
What exams has Howard Spivack passed?
Howard Spivack has passed 5 licensing exams: the Series 7, Series 63, Series 24, Series 65 and Series 53. The earliest, the Series 7, was passed in October 1987. FINRA credited Howard Spivack with the SIE, which began in October 2018.
Where was Howard Spivack previously registered as an investment adviser?
Howard Spivack has past investment-adviser registrations through Prestige Wealth Management Group, LLC, May 2024 to February 2026; Citizens Securities, Inc., November 2021 to April 2024; Makefield Wealth Management LLC, January 2020 to December 2021; MML Investors Services, LLC, May 2017 to April 2019; Vanguard Advisers Inc, July 2016 to April 2017; Janney Montgomery Scott LLC, August 2008 to October 2015; Stifel, Nicolaus & Company, Incorporated, August 2007 to July 2008; Ryan Beck & Co., August 2005 to August 2007, across 8 firms.
Is Howard Spivack registered with FINRA?
No. Howard Spivack has no current broker registration.
How can I verify Howard Spivack’s record?
Search CRD 1746929 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Howard Spivack’s full registration record.
