James R. Pecoraro
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.
James Robert Pecoraro was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 10 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
November 1, 2019 - December 26, 2025
SPARTAN CAPITAL SECURITIES, LLC
September 14, 2016 - December 2, 2019
SW FINANCIAL
December 1, 2015 - September 30, 2016
VCS VENTURE SECURITIES
January 10, 2011 - November 30, 2015
ROCKWELL GLOBAL CAPITAL LLC
October 17, 2008 - December 6, 2010
PRESTIGE FINANCIAL CENTER, INC.
October 28, 2005 - September 24, 2008
J.P. TURNER & COMPANY, L.L.C.
October 19, 2004 - October 28, 2005
BRUNDYN SECURITIES INC.
April 30, 2004 - December 17, 2004
LH ROSS & COMPANY, INC.
March 26, 2001 - April 27, 2004
HARRISON SECURITIES, INC.
July 30, 1999 - April 24, 2001
LADENBURG CAPITAL MANAGEMENT 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.
