Philip O. Fatta
Professional summary
Philip Orezio Fatta was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Philip Orezio Fatta, who also goes by Phil Fatta, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1996. Philip had worked at 14 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2016 - February 4, 2017
SPARTAN CAPITAL SECURITIES, LLC
August 19, 2014 - June 20, 2016
BLACKBOOK CAPITAL, LLC
July 10, 2013 - September 3, 2014
IAA FINANCIAL LLC
May 1, 2013 - July 1, 2013
C.K. COOPER & COMPANY, INC.
June 25, 2012 - April 30, 2013
LEGEND SECURITIES, INC.
October 28, 2008 - June 21, 2012
BROOKSTONE SECURITIES, INC.
October 24, 2005 - October 20, 2008
J.P. TURNER & COMPANY, L.L.C.
October 1, 2004 - October 24, 2005
FIRST MONTAUK SECURITIES CORP.
December 5, 2003 - October 13, 2004
FIRST HUDSON FINANCIAL GROUP, INC.
May 12, 2003 - January 14, 2004
GUNNALLEN FINANCIAL, INC
June 18, 2002 - May 13, 2003
NATIONAL SECURITIES CORPORATION
February 23, 2001 - May 17, 2002
U.S. SECURITIES & FUTURES CORP.
November 8, 2000 - March 1, 2001
NATIONAL SECURITIES CORPORATION
July 27, 1998 - November 7, 2000
SHARPE CAPITAL, INC.
October 15, 1996 - August 3, 1998
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
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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
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