David A. Dudkin
Professional summary
David Aron Dudkin, who also goes by David A Dudkin, David Dudkin, Dmitri Dudkin, is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1988. David has worked at 17 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Aron Dudkin's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 27, 2018 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006November 10, 2016 - June 27, 2018
NEWBRIDGE SECURITIES CORPORATION
April 15, 2008 - November 17, 2016
SECUREVEST FINANCIAL GROUP
November 29, 2005 - April 8, 2008
R. SEELAUS & CO., LLC
October 31, 2000 - November 25, 2005
BERGEN CAPITAL, INC.
February 19, 1998 - November 7, 2000
BARRON CHASE SECURITIES, INC.
June 30, 1997 - February 5, 1998
FIRST LIBERTY INVESTMENT GROUP, INC.
May 12, 1997 - July 1, 1997
HUNTER WORLD MARKETS, INC.
May 25, 1995 - March 13, 1997
TOLUCA PACIFIC SECURITIES CORP.
April 24, 1995 - May 31, 1995
SHAMROCK PARTNERS, LTD
April 21, 1994 - March 20, 1995
PACIFIC CORTEZ SECURITIES INCORPORATED
January 25, 1994 - March 15, 1994
BURNETT, GREY & CO., INC.
January 11, 1993 - February 21, 1994
COMMONWEALTH ASSOCIATES
August 30, 1991 - January 19, 1993
ROBERT TODD FINANCIAL CORP.
August 1, 1989 - December 8, 1989
GSG GLOBAL SECURITIES GROUP INC.
May 11, 1989 - July 19, 1989
BRENNAN ROSS SECURITIES, INC.
October 19, 1988 - May 9, 1989
J. T. MORAN & CO., 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
(6/27/2018)
(6/27/2018)
(6/27/2018)
(6/27/2018)
(6/27/2018)
Exams
FINRA
Nasdaq Stock Market
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.
