George Carlo
Professional summary
George Carlo JR, who also goes by George Carlo, is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in Ronkonkoma, New York.
George is registered as a RR (Registered Representative) and started their career in finance in 1990. George has worked at 7 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view George Carlo JR'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 11779January 6, 2010 - December 31, 2017
K.C. WARD FINANCIAL
September 10, 1998 - December 23, 2009
MORGAN WILSHIRE SECURITIES, INC.
August 26, 1998 - September 1, 1998
FIRST ASSET MANAGEMENT, INC.
May 27, 1997 - July 14, 1998
WALSH MANNING SECURITIES, LLC
December 5, 1994 - February 19, 1997
MAIDSTONE FINANCIAL, INC.
April 20, 1992 - December 9, 1994
FIRST ASSET MANAGEMENT, INC.
November 7, 1990 - April 21, 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
(1/2/2018)
(1/2/2018)
(7/31/2023)
(1/2/2018)
(8/19/2019)
(1/12/2018)
(1/2/2018)
(1/2/2018)
(1/3/2018)
(8/22/2023)
(1/2/2018)
(9/3/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative 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
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