Robert T. Tractenberg
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.
Robert Terry Tractenberg, who also goes by Robert Terry Tranctenberg, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 15 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
April 14, 2010 - September 9, 2015
SPARTAN CAPITAL SECURITIES, LLC
July 11, 2003 - November 23, 2004
LEGEND MERCHANT GROUP, INC.
May 15, 2001 - October 18, 2002
JESUP & LAMONT SECURITIES CORP
December 17, 1999 - May 16, 2001
THE THORNWATER COMPANY, L.P.
August 7, 1998 - November 11, 1999
FAIRCHILD FINANCIAL GROUP, INC.
April 8, 1998 - August 7, 1998
LEGEND MERCHANT GROUP, INC.
May 8, 1991 - March 27, 1998
JOSEPHTHAL & CO., INC.
March 27, 1991 - April 12, 1991
J. GREGORY & COMPANY, INC.
February 6, 1990 - October 22, 1990
AMERICAN FRONTEER FINANCIAL CORPORATION
December 5, 1989 - February 20, 1990
J.P. MORGAN SECURITIES LLC
May 26, 1989 - December 8, 1989
RODMAN & RENSHAW INC.
April 17, 1989 - May 3, 1989
ALL-TECH DIRECT, INC.
February 23, 1989 - September 13, 1991
MONMOUTH INVESTMENTS, INC.
February 10, 1989 - March 2, 1989
BUTCHER & SINGER INC.
August 15, 1988 - January 31, 1989
ALLIED CAPITAL GROUP, INC.
February 26, 1987 - August 17, 1988
THE STUART-JAMES COMPANY, INCORPORATED
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.
