William M. Dobrow
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.
William Michael Dobrow, who also goes by Bill Dobrow, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1987. William had worked at 13 firms and has passed the Series 65, 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
October 23, 2018 - March 17, 2022
SPARTAN CAPITAL SECURITIES, LLC
October 24, 2016 - October 25, 2018
BUCKMAN ADVISORY GROUP LLC
September 20, 2016 - October 24, 2018
BUCKMAN, BUCKMAN & REID, INC.
April 23, 2015 - September 27, 2016
ARIVE CAPITAL MARKETS
February 5, 2009 - April 24, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
November 21, 2008 - April 24, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
March 15, 2002 - November 21, 2008
OPPENHEIMER & CO. INC.
April 28, 1995 - March 22, 2002
ADVEST, INC.
June 20, 1991 - April 18, 1995
UBS FINANCIAL SERVICES INC.
July 3, 1990 - July 5, 1991
LADENBURG THALMANN & CO. INC.
November 16, 1989 - June 1, 1990
WOOD-POMERANTZ SECURITIES, INC
May 20, 1988 - November 24, 1989
J. T. MORAN & CO., INC.
November 13, 1987 - May 23, 1988
SHERWOOD CAPITAL, INC.
October 20, 1987 - November 20, 1987
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.
