Mitchel R. Nelson
Professional summary
Mitchel Ray Nelson is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Mitchel is registered as a RR (Registered Representative) and started their career in finance in 1983. Mitchel has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mitchel Ray Nelson's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 12, 2026 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006June 8, 2016 - June 8, 2026
CLEARPOOL EXECUTION SERVICES, LLC
November 7, 2014 - May 31, 2016
T3 TRADING GROUP, LLC
March 22, 2011 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
July 14, 1995 - October 13, 2010
KNIGHT CAPITAL AMERICAS, L.P.
May 24, 1988 - July 20, 1995
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
July 26, 1984 - May 24, 1988
TROSTER SINGER CORPORATION
January 30, 1984 - February 29, 1984
MONVEST SECURITIES, INC.
September 21, 1983 - February 1, 1984
SOUTHEAST SECURITIES OF FLORIDA, 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/8/1999
Limited Representative-Equity Trader ExamNasdaq Stock Market
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 | 10 |
| Civil Event | 1 |
| Arbitration | 4 |
Red Flags
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