Richard A. Carozza
Professional summary
Richard Andrew Carozza is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in Garden City, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1989. Richard has worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Andrew Carozza's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 16, 2023 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 595 Stewart Avenue 8th Floor, Garden City, NY, 11530November 14, 2022 - May 11, 2023
SW FINANCIAL
August 8, 2022 - November 4, 2022
A.G.P. / ALLIANCE GLOBAL PARTNERS
February 13, 2017 - June 2, 2022
SW FINANCIAL
September 21, 2015 - January 19, 2017
VCS VENTURE SECURITIES
May 8, 2015 - September 25, 2015
GARDEN STATE SECURITIES, INC.
September 23, 2014 - May 13, 2015
ROCKWELL GLOBAL CAPITAL LLC
April 1, 2013 - November 11, 2013
GLOBAL ARENA CAPITAL CORP
July 27, 2011 - February 1, 2013
LEGEND TRADING, LLC
March 30, 2004 - December 31, 2010
NATIONWIDE PLANNING ASSOCIATES INC.
January 29, 2003 - December 31, 2003
YANKEE FINANCIAL GROUP, INC.
May 23, 1989 - December 31, 2002
WISE PLANNING 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
(5/19/2023)
(5/18/2023)
(5/16/2023)
Exams
FINRA
Nasdaq Stock Market
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.
