Brian M. Duddy
Professional summary
Brian Morgan Duddy is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1991. Brian has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Morgan Duddy's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 18, 2022 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006September 29, 2021 - January 11, 2022
THE BENCHMARK COMPANY, LLC
April 9, 2020 - September 24, 2021
DINOSAUR FINANCIAL GROUP, L.L.C
February 4, 2020 - March 29, 2020
LEK SECURITIES CORPORATION
February 1, 2018 - February 13, 2020
MAXIM GROUP LLC
May 11, 2007 - October 18, 2017
WILLIAM BLAIR
June 3, 2003 - April 24, 2007
SOLEIL SECURITIES CORPORATION
August 29, 2002 - June 13, 2003
ELECTRONIC TRADING GROUP, LLC
November 2, 2000 - July 24, 2002
COWEN AND COMPANY
September 9, 1991 - October 16, 2000
PERSHING LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/1/2024)
(3/28/2022)
(3/29/2022)
(4/4/2022)
(3/25/2022)
(4/11/2022)
(9/27/2024)
(4/2/2024)
(1/24/2022)
(1/18/2022)
(2/19/2025)
(6/24/2022)
(4/1/2022)
(11/7/2024)
(2/25/2025)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/7/2002
Limited Representative-Equity Trader ExamFINRA
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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