David W. Noble
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.
David William Noble was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 13 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2018 - June 2, 2026
SPARTAN CAPITAL SECURITIES, LLC
June 10, 2016 - December 5, 2016
CELADON FINANCIAL GROUP LLC
April 8, 2014 - June 14, 2016
BUCKMAN, BUCKMAN & REID, INC.
May 31, 2011 - July 23, 2012
RODMAN & RENSHAW, LLC
May 11, 2010 - May 27, 2011
HUDSON SECURITIES,INC.
August 18, 2008 - May 13, 2010
DOMESTIC SECURITIES, INC.
May 22, 2003 - May 30, 2008
DOMESTIC SECURITIES, INC.
May 22, 2003 - May 13, 2010
RUSHMORE CAPITAL, INC.
March 26, 2002 - May 13, 2003
CROWN FINANCIAL GROUP, INC.
September 5, 2001 - November 30, 2001
S. B. CANTOR & CO., INC.
April 19, 1999 - September 18, 2001
CROWN FINANCIAL GROUP, INC.
October 5, 1993 - February 26, 1999
FAIRCHILD FINANCIAL GROUP, INC.
January 8, 1993 - October 28, 1993
STRATEGIC RESOURCE MANAGEMENT, INC.
October 23, 1992 - January 1, 1993
SCHNEIDER SECURITIES, INC.
April 15, 1986 - May 22, 1986
FIRST AFFILIATED SECURITIES, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 8/12/1999
Limited Representative-Equity Trader ExamCurrent 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
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.
