Steven A. Anello
Professional summary
Steven Anthony Anello was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Steven had worked at 6 firms, which includes SPARTAN CAPITAL SECURITIES LLC, K.C. WARD FINANCIAL, EMERSON BENNETT & ASSOCIATES, MONROE PARKER SECURITIES INC., BILTMORE SECURITIES INC., STRATTON OAKMONT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2018 - February 15, 2018
SPARTAN CAPITAL SECURITIES, LLC
January 21, 2014 - December 31, 2017
K.C. WARD FINANCIAL
August 14, 1998 - December 31, 2001
EMERSON BENNETT & ASSOCIATES
August 8, 1994 - December 23, 1997
MONROE PARKER SECURITIES, INC.
January 18, 1993 - August 8, 1994
BILTMORE SECURITIES, INC.
January 22, 1991 - January 29, 1993
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
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
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