Ronald Zdrojeski
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.
Ronald Zdrojeski was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1985. Ronald 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
July 19, 2019 - December 26, 2019
SPARTAN CAPITAL SECURITIES, LLC
October 31, 2016 - July 20, 2017
ANOS CAPITAL, LLC
October 17, 2014 - September 8, 2016
PETER MANCUSO & CO L.P.
September 12, 2011 - November 6, 2012
TOPEKA CAPITAL MARKETS INC.
September 4, 2009 - April 29, 2011
UPHOLD SECURITIES INC.
May 25, 2007 - September 9, 2009
DRIVEWEALTH INSTITUTIONAL LLC
April 24, 2003 - January 2, 2004
JOHN N. SEIP & CO., INC.
January 28, 1998 - June 1, 2007
Z&Z SECURITIES INC.
February 8, 1989 - February 2, 1990
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
April 23, 1985 - August 15, 1986
PERSHING LLC
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.
