Denise M. Spillane

XT CAPITAL PARTNERS

New York, NY 10036

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CRD#: 1450694

Professional summary

Denise Mary Spillane is a registered financial professional currently at XT CAPITAL PARTNERS, LLC located in New York, New York.

Denise is registered as a RR (Registered Representative) and started their career in finance in 1986. Denise has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Denise Mary Spillane's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 19, 2013 - Present

XT CAPITAL PARTNERS, LLC

Office #1: 635 West 42nd Street Unit 41k, New York, NY 10036

CRD#: 118719

New York, NY

Past

May 3, 2013 - August 2, 2013

JOSEPH GRACE

CRD#: 103580

NEW YORK, NY

Past

February 7, 2006 - October 5, 2012

MACKAY SHIELDS LLC

RIA

CRD#: 107717

NEW YORK, NY

Past

November 14, 2003 - September 28, 2005

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

PARSIPPANY, NJ

Past

November 13, 2003 - October 3, 2012

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

NEW YORK, NY

Past

March 20, 1997 - November 13, 2003

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

August 16, 1994 - April 18, 1996

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

Past

September 21, 1989 - October 8, 1993

OCC DISTRIBUTORS LLC

CRD#: 18541

NEW YORK, NY

Past

January 21, 1986 - August 24, 1989

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/19/2013)

Connecticut
(4/30/2014)

Massachusetts
(12/11/2020)

New York
(7/19/2013)

Exams

State Security Law Exam

IAR

Series 65

Date: 12/22/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/12/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/18/1986

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

XT CAPITAL PARTNERS, LLC

XT CAPITAL PARTNERS | XT CAPITAL PARTNERS, LLC

CRD#: 118719 / SEC#: , 8-53683

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

223 High Meadow Road, Southport, CT 06890

Mailing Address

P.o. Box 551, Westport, CT 06880

Phone number

(212) 909-2680

Established

Delaware since 10/09/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (16 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
COCHRAN, JULIE MICHELLE	MANAGING PARTNER/CHIEF EXECUTIVE OFFICER	4298567
MINARD, FRANK PELL LAWRENCE	MANAGING PARTNER	1251387
MINARD, MARION LYNNE	MANAGING PARTNER/CHIEF COMPLIANCE OFFICER	3023500
KAPPOTIS, ERNEST DOMENIC	FINOP	4871251

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.

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Firm Stability Insights

Denise M. Spillane

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Denise Mary Spillane's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOSEPH GRACE

MACKAY SHIELDS LLC

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NYLIFE DISTRIBUTORS LLC

NYLIFE SECURITIES LLC

ABN AMRO SECURITIES LLC

OCC DISTRIBUTORS LLC

GRUNTAL & CO., L.L.C.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/1995

Series 63

Date: 5/12/1995

SIE

Date: 10/1/2018

Series 7

Date: 1/18/1986

FINRA

Current Firm

XT CAPITAL PARTNERS, LLC

Contact information

FINRA licenses (16 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

XT CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

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