Kenneth F. Casey
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.
Kenneth Francis Casey was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1991. Kenneth had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - October 25, 2019
SPARTAN CAPITAL SECURITIES, LLC
March 4, 2008 - December 31, 2017
K.C. WARD FINANCIAL
January 3, 2005 - May 28, 2008
J.P. TURNER & COMPANY, L.L.C.
January 3, 2003 - December 31, 2004
AMERICAN CAPITAL PARTNERS, LLC
April 24, 2000 - December 31, 2002
MILESTONE FINANCIAL SERVICES, INC.
December 17, 1996 - May 19, 2000
SEABOARD SECURITIES, INC.
August 16, 1995 - November 14, 1996
TUSCANY EQUITY MANAGEMENT CORPORATI0N
September 8, 1993 - August 17, 1995
FIRST ASSET MANAGEMENT, INC.
August 31, 1992 - September 10, 1993
H G I
October 2, 1991 - September 2, 1992
INVESTORS ASSOCIATES, 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.
