Barry M. Sine
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.
Barry Michael Sine, who also goes by Barry M Sine, was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1992. Barry had worked at 13 firms and has passed the Series 63, SIE, Series 87, Series 16, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2019 - February 8, 2023
SPARTAN CAPITAL SECURITIES, LLC
April 2, 2018 - January 15, 2019
DAWSON JAMES SECURITIES, INC.
May 12, 2011 - January 23, 2018
DREXEL HAMILTON, LLC
August 7, 2008 - May 17, 2011
CAPSTONE INVESTMENTS
April 12, 2005 - January 15, 2008
OPPENHEIMER & CO. INC.
March 17, 2003 - March 1, 2005
HD BROUS & CO., INC.
April 2, 2001 - September 7, 2001
LADENBURG THALMANN & CO. INC.
July 14, 1999 - January 8, 2001
KAUFMAN BROS., L.P.
March 2, 1998 - September 10, 1998
TD SECURITIES (USA) LLC
September 2, 1997 - December 4, 1997
SBC WARBURG DILLON READ INC.
January 3, 1995 - September 2, 1997
SBC WARBURG, INC.
September 26, 1994 - January 3, 1995
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
August 20, 1992 - August 26, 1994
PRUDENTIAL EQUITY GROUP, 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
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.
