David J. Lomedico
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 John Lomedico was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2013 - May 26, 2016
SPARTAN CAPITAL SECURITIES, LLC
February 26, 2007 - April 18, 2013
ROCKWELL GLOBAL CAPITAL LLC
June 15, 2006 - June 7, 2007
ADVANCED PLANNING SECURITIES, INC.
June 27, 2005 - June 5, 2006
J.P. TURNER & COMPANY, L.L.C.
August 6, 2002 - July 26, 2005
AMERICAN CAPITAL PARTNERS, LLC
March 23, 2000 - August 6, 2002
MILESTONE FINANCIAL SERVICES, INC.
October 29, 1999 - March 17, 2000
HAPOALIM SECURITIES USA, INC.
October 25, 1996 - October 29, 1999
ROYCE INVESTMENT GROUP, INC.
January 30, 1995 - November 19, 1996
KENSINGTON WELLS INCORPORATED
December 23, 1994 - January 26, 1995
RICKEL & ASSOCIATES, INC.
November 23, 1988 - December 23, 1994
SOUTH RICHMOND SECURITIES, INC.
August 18, 1986 - September 19, 1988
PIONEER PORTFOLIO CORP.
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.
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