Frank M. Palazzolo
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.
Frank Mark Palazzolo was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1991. Frank had worked at 9 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
March 4, 2013 - March 9, 2015
SPARTAN CAPITAL SECURITIES, LLC
March 31, 2010 - December 31, 2010
BISHOP, ROSEN & CO., INC.
July 31, 2008 - March 3, 2010
SPARTAN CAPITAL SECURITIES, LLC
January 25, 2008 - May 21, 2008
GARDEN STATE SECURITIES, INC.
July 14, 1997 - June 10, 1998
LEGEND MERCHANT GROUP, INC.
March 16, 1995 - May 9, 1997
INVESTORS ASSOCIATES, INC.
August 25, 1994 - March 24, 1995
GRUNTAL & CO., L.L.C.
September 3, 1993 - August 22, 1994
BERKELEY SECURITIES CORPORATION
April 28, 1992 - August 26, 1993
J. GREGORY & COMPANY, INC.
June 28, 1991 - May 1, 1992
STRATTON OAKMONT 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
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.
