Noel M. Orourke
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.
Noel Mary Orourke was a registered financial professional .
Noel is a previously registered financial professional and started their career in finance in 1994. Noel had worked at 9 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 24, 2019 - October 13, 2021
SPARTAN CAPITAL SECURITIES, LLC
December 18, 2018 - January 31, 2019
WORDEN CAPITAL MANAGEMENT LLC
January 6, 2017 - December 6, 2018
THINKEQUITY LLC
February 25, 2016 - December 27, 2016
SPARTAN CAPITAL SECURITIES, LLC
January 21, 2015 - March 9, 2016
AVENIR FINANCIAL GROUP
December 19, 2012 - January 14, 2015
NATIONAL SECURITIES CORPORATION
November 29, 2012 - December 19, 2012
NATIONAL SECURITIES CORPORATION
March 2, 2010 - December 19, 2012
VFINANCE INVESTMENTS, INC
February 6, 2009 - March 3, 2010
LAMPERT CAPITAL MARKETS INC.
January 2, 2002 - February 17, 2009
OPPENHEIMER & CO. INC.
August 4, 1994 - January 2, 2002
JOSEPHTHAL & CO., 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.
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