Michael C. Morfit
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.
Michael Clarence Oliver Morfit MR, who also goes by Michael Clarence Oliver Morfit, Michael Oliver Morfit, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 11 firms and has passed the Series 63, Series 65, Series 7TO, Series 57TO, SIE, Series 55, 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
December 3, 2018 - April 6, 2020
SPARTAN CAPITAL SECURITIES, LLC
October 25, 2016 - November 30, 2016
FUSION ANALYTICS SECURITIES LLC
February 20, 2013 - October 21, 2014
SETON SECURITIES GROUP, INC.
March 16, 2009 - January 4, 2011
MULTITRADE SECURITIES LLC
December 19, 2007 - November 16, 2009
LIGHTHOUSE FINANCIAL GROUP, LLC
September 17, 1991 - October 19, 1995
LADENBURG THALMANN & CO. INC.
January 29, 1990 - July 26, 1991
RODMAN & RENSHAW INC.
March 2, 1989 - February 21, 1990
J. T. MORAN & CO., INC.
April 7, 1988 - March 10, 1989
INVESTORS CENTER, INC.
November 2, 1987 - April 5, 1988
APPLE FINANCIAL CORPORATION
January 21, 1987 - October 14, 1987
ROBERT THOMAS 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 7TO
Date: 1/31/2024
General Securities Representative ExaminationSeries 57TO
Date: 1/31/2024
Securities Trader ExamSeries 55
Date: 2/11/2008
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 | 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.
