Marshall S. Maddox
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.
Marshall Salvatore Maddox, who also goes by Marshall S Maddox, was a registered financial professional .
Marshall is a previously registered financial professional and started their career in finance in 1989. Marshall had worked at 7 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2023 - May 23, 2023
SPARTAN CAPITAL SECURITIES, LLC
March 23, 2022 - April 29, 2022
SPARTAN CAPITAL SECURITIES, LLC
November 4, 2019 - September 29, 2021
SPARTAN CAPITAL SECURITIES, LLC
February 12, 2014 - March 30, 2017
SPARTAN CAPITAL SECURITIES, LLC
February 3, 2005 - December 18, 2013
KCCI, LTD.
August 19, 2002 - October 26, 2004
CARL H. PFORZHEIMER & CO.
March 25, 1999 - July 16, 2002
DEUTSCHE IXE, LLC
May 6, 1997 - March 19, 1999
PATTERSON TRAVIS, INC.
October 14, 1991 - December 14, 1995
L.C. WEGARD & CO., INC.
August 23, 1989 - October 16, 1991
M. RIMSON & CO., 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
