Role at Spectrum Asset Management
- Title on Schedule A
- President & Chief Executive Officer
- Control
- Mark Lieb is a control person of Spectrum Asset Management.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Mark Lieb has held the filed role since January 2010.
The firm
Form ADV filed 5 August 2026
Career on record
- Passed Series 99TO · 2023
- Passed SIE · 2018
- Spectrum Asset Management, Inc.– · under a yearStamford, CT · Adviser representative · Firm CRD 18217
- Passed Series 24 · 1987
- Passed Series 63 · 1980
- Passed Series 7 · 1978
Registrations and exams
Broker registration; no current adviser registration. Mark Lieb has passed 5 qualifying exams.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 29 May 1980 |
| Series 24 | General Securities Principal Examination | 23 July 1987 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 17 June 1978 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Mark Alan Lieb
- CRD
- 853490
- Registration status
- Broker registration; no current adviser registration
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Mark Lieb work?
Mark Lieb has been President & Chief Executive Officer of Spectrum Asset Management, Inc. since January 2010, and is a control person of the firm.
Does Mark Lieb have a current investment-adviser registration?
Mark Lieb has a current broker registration and no current investment-adviser registration, as of 17 October 2026.
What exams has Mark Lieb passed?
Mark Lieb has passed 5 licensing exams: the Series 7, Series 63, Series 24, SIE and Series 99TO. The earliest, the Series 7, was passed in June 1978.
Where was Mark Lieb previously registered as an investment adviser?
Mark Lieb has past investment-adviser registrations through Spectrum Asset Management, Inc., February 2005 to February 2005, across 1 firm.
Leadership at Spectrum Asset Management
- Jean OrlandoFinancial Operations Principal & Chief Financial Officer
- Matthew ByerExecutive Director & Chief Operating Officer
- Joseph HanczorManaging Director & Chief Compliance Officer
- Lewis JacobyExecutive Director & Chief Investment Officer