Louis Ward
Professional Summary
Louis Ward is a registered financial advisor currently at SPARTAN CAPITAL SECURITIES, LLC located in Ronkonkoma, New York. Louis is registered as a RR (Registered Representative) and started their career in finance in 1991. Louis has worked at 11 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
PARK AVENUE SECURITIES LLC
PFS INVESTMENTS INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
PARK AVENUE SECURITIES LLC
PFS INVESTMENTS INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
PARK AVENUE SECURITIES LLC
PFS INVESTMENTS INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
PARK AVENUE SECURITIES LLC
PFS INVESTMENTS INC.
Years of Experience
35 years in the financial services industry
Current & Past Employments
Similar Advisors
PARK AVENUE SECURITIES LLC
PFS INVESTMENTS INC.
Current Firm
SPARTAN CAPITAL MANAGEMENT LLC | SPARTAN CAPITAL SECURITIES, LLC
Contact Information
Main Address
45 Broadway 19th Floor, New York, NY 10006Mailing Address
45 Broadway 19th Floor, New York, NY 10006Phone Number
(212) 293-0123Established
New York since 06/26/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| FLESCHE, PAUL ERIC | PRESIDENT | 3277904 |
| HEILPERN, GERALD MARTIN | MUNICIPAL SECURITIES PRINCIPAL | 241803 |
| NELSON, MITCHEL RAY | NY BRANCH MANAGER / CHIEF SUPERVISORY OFFICER | 1191908 |
| SNOOZY, MARK JAMES | ROSFP | 2822325 |
Disclosures
Regulatory Event
11Civil Event
1Arbitration
5Similar Advisors
PARK AVENUE SECURITIES LLC
PFS INVESTMENTS INC.
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.
Similar Advisors
PARK AVENUE SECURITIES LLC
PFS INVESTMENTS INC.
State Registrations and Notice Filings
(7/7/2020)
(3/20/2018)
(1/2/2018)
(1/2/2018)
(1/2/2018)
(1/2/2018)
(3/5/2018)
(3/23/2018)
(1/2/2018)
(1/2/2018)
(1/2/2018)
(3/22/2018)
(4/2/2018)
(1/23/2018)
(4/4/2018)
(1/2/2018)
(4/3/2018)
(1/18/2018)
(2/1/2018)
(3/15/2018)
(1/2/2018)
(3/7/2018)
(4/11/2018)
(2/4/2018)
(4/10/2018)
(4/10/2018)
(4/9/2018)
(4/2/2018)
(2/6/2018)
(1/2/2018)
(2/1/2018)
(4/9/2018)
(1/2/2018)
(1/2/2018)
(4/4/2018)
(1/2/2018)
(3/21/2018)
(3/14/2018)
(1/2/2018)
(3/14/2018)
(3/15/2018)
(2/1/2018)
(1/2/2018)
(1/12/2018)
(1/2/2018)
(3/19/2018)
(1/2/2018)
(3/12/2018)
(1/2/2018)
(2/1/2018)
(1/2/2018)
(1/2/2018)
(3/20/2018)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
SRO Registrations
Similar Advisors
PARK AVENUE SECURITIES LLC
PFS INVESTMENTS INC.
CRS (Client Relationship Summary) - BD
Click below to view Louis Ward's CRS (Customer Relationship Summary).
Similar Advisors
PARK AVENUE SECURITIES LLC
PFS INVESTMENTS INC.
