Richard A. Carozza
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.
Richard Andrew Carozza was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2023 - May 26, 2026
SPARTAN CAPITAL SECURITIES, LLC
November 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
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 | 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.
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