Joseph M. Dimele
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.
Joseph Michael Dimele, who also goes by Joseph Michael Dimele Jr, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1989. Joseph had worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2018 - June 15, 2018
SPARTAN CAPITAL SECURITIES, LLC
September 25, 2017 - February 14, 2018
WORDEN CAPITAL MANAGEMENT LLC
June 2, 2014 - February 16, 2016
CHELSEA FINANCIAL SERVICES
January 7, 2014 - April 25, 2014
NATIONAL SECURITIES CORPORATION
January 26, 2012 - February 1, 2012
NATIONAL SECURITIES CORPORATION
July 5, 2011 - December 9, 2011
NATIONAL SECURITIES CORPORATION
June 2, 2009 - May 19, 2010
VIEWTRADE SECURITIES, INC.
March 10, 2009 - May 18, 2009
JOHN THOMAS FINANCIAL
July 20, 1995 - October 19, 1995
BARRON CHASE SECURITIES, INC.
March 24, 1994 - July 7, 1994
A. T. BROD & CO. INC.
February 3, 1994 - March 28, 1994
PARAGON CAPITAL MARKETS, INC.
April 20, 1992 - July 16, 1992
JOSEPHTHAL & CO., INC.
April 13, 1992 - April 29, 1992
LEHMAN BROTHERS INC.
January 25, 1991 - April 11, 1991
CORTLANDT CAPITAL CORPORATION
June 7, 1990 - January 21, 1991
UBS FINANCIAL SERVICES INC.
March 13, 1990 - May 29, 1990
LOMBARD SECURITIES CORP.
July 11, 1989 - April 24, 1990
MADISON CHAPIN ASSOCS., 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
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.
