David M. Cutolo
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.
David Michael Cutolo, who also goes by David Michael Cutolo Sr, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 26 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
November 21, 2016 - November 13, 2019
SPARTAN CAPITAL SECURITIES, LLC
May 22, 2015 - November 10, 2016
CHELSEA FINANCIAL SERVICES
November 24, 2014 - May 22, 2015
BLACKBOOK CAPITAL, LLC
January 30, 2014 - November 24, 2014
WINDSOR STREET CAPITAL, LP
March 13, 2013 - July 9, 2013
CLARK DODGE & CO., INC.
December 11, 2012 - March 5, 2013
JOHN THOMAS FINANCIAL
September 11, 2012 - November 8, 2012
THINKEQUITY LLC
July 3, 2012 - September 11, 2012
LEGEND SECURITIES, INC.
August 10, 2010 - June 20, 2012
BROOKSTONE SECURITIES, INC.
August 14, 2008 - February 23, 2009
MERCER CAPITAL LTD.
May 1, 2007 - June 30, 2008
J.P. TURNER & COMPANY, L.L.C.
March 28, 2007 - April 19, 2007
MCBARRON CAPITAL LLC
October 28, 2005 - February 21, 2007
NEWBRIDGE SECURITIES CORPORATION
November 7, 2003 - October 25, 2005
GREAT EASTERN SECURITIES, INC.
August 6, 2001 - November 10, 2003
J.P. TURNER & COMPANY, L.L.C.
December 22, 2000 - May 9, 2001
JOSEPH STEVENS & CO., INC.
August 28, 1998 - January 3, 2001
J.W. BARCLAY & CO., INC.
December 5, 1997 - September 18, 1998
CANTONE RESEARCH INC.
September 25, 1996 - December 11, 1997
CONTINENTAL BROKER-DEALER CORP.
April 18, 1996 - October 24, 1996
LCP CAPITAL CORP.
May 11, 1995 - June 26, 1995
JWGENESIS SECURITIES, INC.
December 8, 1994 - April 18, 1995
LT LAWRENCE & CO., INC.
September 2, 1994 - December 19, 1994
A. R. BARON & CO., INC.
May 24, 1994 - September 19, 1994
H.J. MEYERS & CO., INC.
September 7, 1993 - May 27, 1994
A.S. GOLDMEN & CO., INC.
July 2, 1993 - September 15, 1993
LADENBURG THALMANN & CO. INC.
September 16, 1992 - October 15, 1992
A. R. BARON & CO., INC.
August 24, 1992 - September 23, 1992
H.J. MEYERS & CO., INC.
July 1, 1992 - August 18, 1992
GKN SECURITIES CORP.
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.
