Thomas J. Tedeschi
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.
Thomas John Tedeschi was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1994. Thomas had worked at 18 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2017 - February 2, 2022
SPARTAN CAPITAL SECURITIES, LLC
April 11, 2017 - December 31, 2017
WORDEN CAPITAL MANAGEMENT LLC
August 3, 2016 - March 24, 2017
SW FINANCIAL
August 26, 2014 - August 12, 2016
JOSEPH STONE CAPITAL L.L.C.
June 10, 2014 - September 12, 2014
BLACKBOOK CAPITAL, LLC
July 21, 2011 - May 28, 2014
AEGIS CAPITAL CORP.
October 21, 2010 - July 13, 2011
BLACKBOOK CAPITAL, LLC
March 27, 2009 - November 2, 2010
PRESTIGE FINANCIAL CENTER, INC.
January 23, 2009 - March 30, 2009
JOHN THOMAS FINANCIAL
April 9, 2008 - February 20, 2009
OBSIDIAN FINANCIAL GROUP, LLC
August 24, 2006 - April 15, 2008
WESTROCK ADVISORS, INC.
January 12, 2005 - September 20, 2006
MILESTONE FINANCIAL SERVICES, INC.
August 26, 2004 - January 24, 2005
WESTROCK ADVISORS, INC.
January 6, 2004 - July 23, 2004
GRANITE ASSOCIATES, INC
April 21, 2003 - January 21, 2004
CONTINENTAL BROKER-DEALER CORP.
January 2, 2001 - May 20, 2003
HARRISON SECURITIES, INC.
December 8, 1998 - December 31, 2000
WHITEHALL WELLINGTON INVESTMENTS, INC.
March 24, 1997 - October 22, 1998
NATIONAL SECURITIES CORPORATION
January 3, 1997 - March 24, 1997
TIMECAPITAL SECURITIES CORPORATION
March 3, 1994 - November 26, 1996
KENSINGTON WELLS INCORPORATED
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
Series 7TO
Date: 3/30/2024
General Securities Representative ExaminationSeries 62
Date: 3/2/1994
Corporate Securities Limited Representative ExaminationCurrent 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.
