Gerald M. Heilpern
Professional summary
Gerald Martin Heilpern is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Gerald is registered as a RR (Registered Representative) and started their career in finance in 1969. Gerald has worked at 17 firms and has passed the Series 63, Series 72, Series 57TO, Series 52TO, Series 79TO, Series 7TO, Series 42, SIE, Series 55, PC, Series 1, Series 53, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gerald Martin Heilpern's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 23, 2019 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006May 11, 2015 - May 23, 2019
AEGIS CAPITAL CORP.
July 2, 2007 - May 12, 2015
KOVACK SECURITIES INC.
March 18, 2004 - June 29, 2007
BROOKSTREET SECURITIES CORPORATION
August 14, 2002 - December 31, 2003
NATIVE AMERICAN SECURITIES COMPANY, INC.
March 29, 2001 - December 31, 2003
AMERICAN INTERNATIONAL SECURITIES, INC.
January 13, 2000 - July 2, 2004
DUPONT SECURITIES GROUP, INC.
March 21, 1995 - September 2, 1999
FAB SECURITIES OF AMERICA, INC.
May 6, 1994 - March 24, 1995
ALEXANDER, WESCOTT, & CO., INC.
January 22, 1990 - May 11, 1994
HYM FINANCIAL, INC.
April 6, 1989 - January 13, 1990
J. T. MORAN & CO., INC.
June 9, 1988 - April 25, 1989
MOORE & SCHLEY, CAMERON & CO.
August 28, 1984 - June 8, 1988
MULLER AND COMPANY, INC.
August 1, 1974 - June 14, 1988
PHILIPS, APPEL & WALDEN, INC.
May 9, 1973 - August 30, 1974
SCHWEICKART & CO.
August 11, 1972 - June 14, 1973
W. E. HUTTON & CO.
February 25, 1969 - September 19, 1972
BACHE & CO 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
(1/5/2023)
(5/23/2019)
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Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 42
Date: 1/2/2023
Registered Options Representative ExaminationSeries 55
Date: 4/7/1999
Limited Representative-Equity Trader ExamPC
Date: 4/4/1977
AMEX Put and Call ExamSeries 1
Date: 2/17/1969
Registered Representative ExaminationSeries 12
Date: 12/11/1978
NYSE Branch Manager ExaminationFINRA
Nasdaq Stock Market
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.
