Phillip S. Lobell
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.
Phillip Scott Lobell was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1999. Phillip had worked at 18 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
May 29, 2020 - May 4, 2021
SPARTAN CAPITAL SECURITIES, LLC
September 22, 2017 - May 29, 2018
SW FINANCIAL
November 4, 2014 - August 19, 2015
WOODSTOCK FINANCIAL GROUP, INC.
March 22, 2013 - October 16, 2014
DAWSON JAMES SECURITIES, INC.
June 20, 2012 - March 28, 2013
LEGEND SECURITIES, INC.
April 20, 2010 - July 18, 2012
CHELSEA FINANCIAL SERVICES
August 20, 2009 - March 24, 2010
J.P. TURNER & COMPANY, L.L.C.
February 18, 2009 - August 20, 2009
NATIONAL SECURITIES CORPORATION
September 25, 2008 - November 14, 2008
INVESTORS CAPITAL CORP.
June 24, 2008 - September 4, 2008
FIRST MIDWEST SECURITIES, INC.
January 26, 2007 - July 15, 2008
NATIONAL SECURITIES CORPORATION
October 7, 2004 - February 8, 2005
GREAT EASTERN SECURITIES, INC.
March 11, 2004 - August 11, 2004
LH ROSS & COMPANY, INC.
February 25, 2003 - March 1, 2004
NORTHEAST SECURITIES, LLC
December 4, 2000 - March 6, 2003
CONTINENTAL BROKER-DEALER CORP.
October 11, 2000 - December 6, 2000
MAGNUM SECURITIES OF NEW YORK INC.
February 15, 2000 - October 11, 2000
THINKEQUITY LLC
June 9, 1999 - February 24, 2000
DALTON KENT SECURITIES GROUP, INC.
April 21, 1999 - July 6, 1999
CARNEGIE INVESTOR SERVICES 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
