Florence M. Simeon
Professional summary
Florence Marie Simeon is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Florence is registered as a RR (Registered Representative) and started their career in finance in 1986. Florence has worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Florence Marie Simeon's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 15, 2021 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006October 25, 2016 - December 31, 2019
SUNSTREET SECURITIES, LLC
August 13, 2015 - April 27, 2016
ALEXANDER CAPITAL, L.P.
January 3, 2011 - August 11, 2015
J.P. TURNER & COMPANY, L.L.C.
August 1, 2006 - December 21, 2010
HALLMARK INVESTMENTS, INC.
April 3, 2006 - August 1, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - August 1, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 4, 2004 - October 20, 2004
QUICK & REILLY, INC.
November 20, 1995 - February 2, 2004
MORGAN STANLEY DW INC.
August 1, 1994 - November 28, 1995
CHEMICAL INVESTMENT SERVICES CORP.
November 18, 1993 - August 1, 1994
IFMG SECURITIES, INC.
March 22, 1991 - November 24, 1993
CAPITAL BROKERAGE CORPORATION
September 25, 1990 - March 25, 1991
CITICORP FINANCIAL SERVICES,INC.
July 10, 1990 - October 3, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
April 27, 1987 - March 27, 1989
MORGAN STANLEY DW INC.
January 27, 1986 - May 20, 1987
BROOKS WEINGER ROBBINS & LEEDS 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
(1/4/2022)
(1/26/2022)
(12/16/2021)
Exams
FINRA
Nasdaq 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 | 8 |
| Civil Event | 1 |
| Arbitration | 4 |
Red Flags
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