Joseph N. Cassese

SPARTAN CAPITAL SECURITIES

Ronkonkoma, NY 11779

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CRD#: 1925159

Professional summary

Joseph Nicholas Cassese is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in Ronkonkoma, New York.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1989. Joseph has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Nicholas Cassese's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 2, 2018 - Present

SPARTAN CAPITAL SECURITIES, LLC

Office #1: 4175 Veterans Memorial Hway Suite 203, Ronkonkoma, NY 11779

CRD#: 146251

Ronkonkoma, NY

Past

September 5, 2011 - December 31, 2017

K.C. WARD FINANCIAL

CRD#: 145135

RONKONKOMA, NY

Past

August 2, 2000 - October 5, 2011

MORGAN WILSHIRE SECURITIES, INC.

CRD#: 44807

GARDEN CITY, NY

Past

November 4, 1999 - June 26, 2000

FIRST SECURITY INVESTMENTS, INC.

CRD#: 24035

KINGSTON, PA

Past

March 10, 1999 - October 15, 1999

THE THERMOPYLAE GROUP, INC.

CRD#: 3059

NEW YORK, NY

Past

August 25, 1998 - March 19, 1999

MORGAN WILSHIRE SECURITIES, INC.

CRD#: 44807

GARDEN CITY, NY

Past

July 2, 1991 - August 28, 1998

FIRST ASSET MANAGEMENT, INC.

CRD#: 17341

GARDEN CITY, NY

Past

July 18, 1989 - August 8, 1989

MADISON CHAPIN ASSOCS., INC.

CRD#: 14483

Past

July 18, 1989 - July 29, 1991

STRATTON OAKMONT INC.

CRD#: 18692

LAKE SUCCESS, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/2/2018)

Connecticut
(1/3/2018)

Minnesota
(2/15/2018)

New Jersey
(2/15/2018)

New York
(1/2/2018)

Pennsylvania
(1/2/2018)

Rhode Island
(1/2/2018)

Vermont
(7/30/2018)

Washington
(1/2/2018)

Exams

State Security Law Exam

Series 63

Date: 7/25/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/15/1989

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SPARTAN CAPITAL SECURITIES, LLC

SPARTAN CAPITAL MANAGEMENT LLC | SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251 / SEC#: , 8-67801

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

45 Broadway 19th Floor, New York, NY 10006

Mailing Address

45 Broadway 19th Floor, New York, NY 10006

Phone number

(212) 293-0123

Established

New York since 06/26/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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Advisor Monitoring

Firm Stability Insights

Joseph N. Cassese

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Nicholas Cassese's CRS (Customer Relationship Summary).

Certified licenses

Experience

K.C. WARD FINANCIAL

MORGAN WILSHIRE SECURITIES, INC.

FIRST SECURITY INVESTMENTS, INC.

THE THERMOPYLAE GROUP, INC.

MORGAN WILSHIRE SECURITIES, INC.

FIRST ASSET MANAGEMENT, INC.

MADISON CHAPIN ASSOCS., INC.

STRATTON OAKMONT INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/25/1989

SIE

Date: 10/1/2018

Series 7

Date: 7/15/1989

FINRA

Nasdaq Stock Market

Current Firm

SPARTAN CAPITAL SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SPARTAN CAPITAL SECURITIES, LLC

TRUST BUT VERIFY

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