Theresa S. Montuori
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Theresa Studley Montuori, who also goes by Terry Montuori, Theresa Ann Navarro, Theresa Ann Studley, Theresa Studley, was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 1983. Theresa had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2016 - December 20, 2017
SPARTAN CAPITAL SECURITIES, LLC
March 12, 2015 - March 28, 2016
GARDEN STATE SECURITIES, INC.
June 21, 2013 - January 2, 2015
PORTFOLIO ADVISORS ALLIANCE, LLC
November 10, 2009 - June 20, 2013
JOHN THOMAS FINANCIAL
November 27, 2007 - March 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 2006 - March 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 6, 2001 - February 9, 2006
PAPAMARKOU WELLNER & CO., INC.
June 15, 1998 - April 2, 2001
INDEPENDENCE ASSET MANAGEMENT, LLC
June 17, 1987 - February 9, 1998
NEUBERGER BERMAN BD LLC
August 8, 1985 - July 2, 1987
CITIGROUP GLOBAL MARKETS INC.
August 23, 1983 - July 15, 1985
BURNS FRY INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SPARTAN CAPITAL SECURITIES, LLC
CRD#: 146251 / SEC#: , 8-67801
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SPARTAN CAPITAL HOLDINGS, LLC | OWNER | |
| BASIS, THEOLOGOS STAVROS | CHIEF COMPLIANCE OFFICER / AML OFFICER | 2574740 |
| DACOSTA, MAURICE MICHAEL | CFO / FINOP | 5500926 |
| HEILPERN, GERALD MARTIN | MUNICIPAL SECURITIES PRINCIPAL | 241803 |
| LOWRY, JOHN DENNIS | CEO/MANAGING MEMBER | 4336146 |
| MONCHIK, KIM MARIE | CAO | |
| SNOOZY, MARK JAMES | ROSFP | 2822325 |
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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