Sharjil Zaman
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.
Sharjil Zaman was a registered financial professional .
Sharjil is a previously registered financial professional and started their career in finance in 1993. Sharjil had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2015 - April 18, 2016
SPARTAN CAPITAL SECURITIES, LLC
December 1, 2009 - September 26, 2012
MORGAN STANLEY & CO. LLC
June 1, 2009 - December 2, 2009
MORGAN STANLEY
January 6, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
March 7, 2006 - October 1, 2007
EQUITABLE ADVISORS, LLC
September 14, 2004 - December 9, 2004
CHASE INVESTMENT SERVICES CORP.
August 26, 2003 - September 20, 2004
PFS INVESTMENTS INC.
July 13, 2000 - October 3, 2001
CITICORP INVESTMENT SERVICES
May 14, 1997 - March 16, 2000
TD AMERITRADE, INC.
October 4, 1996 - January 16, 1997
H.J. MEYERS & CO., INC.
June 21, 1993 - October 7, 1996
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 | 10 |
| 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.
