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Lisa Larocca

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CRD#: 2321487
LL

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.

Lisa Larocca, who also goes by Lisa Larocca Jenkins, Lisa Larocca, was a registered financial professional .

Lisa is a previously registered financial professional and started their career in finance in 2017. Lisa had worked at 3 firms and has passed the Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lisa Larocca Jenkins | Lisa Larocca

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 17, 2022 - February 24, 2023

SPARTAN CAPITAL SECURITIES, LLC

BD
CRD#: 146251
NEW YORK, NY
Past

November 17, 2021 - August 17, 2022

SYMBRIDGE CAPITAL LLC

BD
CRD#: 307430
GREENWICH, CT
Past

June 30, 2017 - February 20, 2020

TMC BONDS L.L.C.

BD
CRD#: 104507
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/30/2017
Financial and Operations Principal Examination

Current Firm

SC
SPARTAN CAPITAL SECURITIES, LLC
SPARTAN CAPITAL MANAGEMENT LLC | SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251 / SEC#: , 8-67801

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
45 Broadway 19th Floor, New York, NY 10006
Mailing Address
45 Broadway 19th Floor, New York, NY 10006
Phone number
(212) 293-0123
Established
New York since 06/26/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SPARTAN CAPITAL HOLDINGS, LLCOWNER
BASIS, THEOLOGOS STAVROSCHIEF COMPLIANCE OFFICER / AML OFFICER2574740
DACOSTA, MAURICE MICHAELCFO / FINOP5500926
HEILPERN, GERALD MARTINMUNICIPAL SECURITIES PRINCIPAL241803
LOWRY, JOHN DENNISCEO/MANAGING MEMBER4336146
MONCHIK, KIM MARIECAO
SNOOZY, MARK JAMESROSFP2822325

Disclosures

Regulatory Event8
Civil Event1
Arbitration4

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.

Company Information

SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251

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