Louis Ward
Professional summary
Louis Ward is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Louis Ward's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2018 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 4175 Veterans Memorial Hway Suite 203, Ronkonkoma, NY 11779February 26, 2008 - December 31, 2017
K.C. WARD FINANCIAL
January 3, 2005 - March 27, 2008
J.P. TURNER & COMPANY, L.L.C.
January 14, 2003 - December 31, 2004
AMERICAN CAPITAL PARTNERS, LLC
May 19, 2000 - January 15, 2003
MILESTONE FINANCIAL SERVICES, INC.
January 21, 1997 - May 19, 2000
SEABOARD SECURITIES, INC.
October 2, 1996 - January 7, 1997
WALSH MANNING SECURITIES, LLC
January 13, 1995 - October 11, 1996
SEABOARD SECURITIES, INC.
January 4, 1995 - February 6, 1995
CHATFIELD DEAN & CO., INC.
April 6, 1993 - October 28, 1994
FIRST ASSET MANAGEMENT, INC.
July 30, 1992 - April 14, 1993
H G I
March 6, 1992 - July 30, 1992
FIRST ASSET MANAGEMENT, INC.
October 4, 1991 - March 14, 1992
STRATTON OAKMONT 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
(7/7/2020)
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Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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.
