Amalia O. Chin
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.
Amalia O Chin, who also goes by Amalia Chin, was a registered financial professional .
Amalia is a previously registered financial professional and started their career in finance in 1987. Amalia had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2021 - January 31, 2025
SPARTAN CAPITAL SECURITIES, LLC
July 21, 2014 - November 24, 2021
DAVID LERNER ASSOCIATES, INC.
December 5, 2011 - September 28, 2012
CHARLES SCHWAB & CO., INC.
January 15, 1996 - September 28, 2012
CHARLES SCHWAB & CO., INC.
June 14, 1995 - August 4, 1995
THE MADRID GROUP, INC.
February 1, 1994 - October 20, 1994
CAPITAL BROKERAGE CORPORATION
May 17, 1993 - February 5, 1994
GRIFFIN FINANCIAL SERVICES
April 24, 1990 - February 11, 1993
STUART, COLEMAN & CO., INC.
May 26, 1988 - May 1, 1990
ROBERT THOMAS SECURITIES, INC
April 14, 1988 - June 1, 1988
PHILIPS, APPEL & WALDEN, INC.
November 11, 1987 - April 14, 1988
DIVERSIFIED EQUITIES CORP.
March 24, 1987 - November 23, 1987
J. W. GANT & ASSOCIATES, 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 8
Date: 3/22/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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.
