Thomas M. Allegra
Professional summary
Thomas Michael Allegra is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in Ronkonkoma, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1994. Thomas has worked at 17 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, Series 57TO, Series 79TO, Series 52TO, SIE, Series 87, Series 55, Series 7, Series 10, Series 9, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Michael Allegra's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2018 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 4175 Veterans Memorial Hway Suite 203, Ronkonkoma, NY 11779January 31, 2022 - March 28, 2022
KAWA SECURITIES LLC
April 10, 2012 - December 31, 2017
K.C. WARD FINANCIAL
May 3, 2010 - March 21, 2011
MOMENTUM TRADING PARTNERS, LLC
May 29, 2007 - August 24, 2009
ETICO PARTNERS, LLC
September 28, 2005 - May 22, 2007
PARTNERS CAPITAL SERVICES, INC.
July 5, 2002 - June 11, 2007
AMERICAN CAPITAL PARTNERS, LLC
July 20, 2000 - December 18, 2001
TRIDENT PARTNERS LTD.
March 28, 2000 - July 19, 2000
SHARPE CAPITAL, INC.
July 13, 1999 - March 24, 2000
FIRST MONTAUK SECURITIES CORP.
October 16, 1998 - July 7, 1999
J.P. TURNER & COMPANY, L.L.C.
August 11, 1998 - October 15, 1998
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 26, 1998 - August 13, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED
March 5, 1996 - April 21, 1998
FOSTER JEFFRIES SECURITIES, LLC
October 19, 1995 - March 21, 1996
KENSINGTON WELLS INCORPORATED
February 23, 1995 - November 8, 1995
FIRST ASSET MANAGEMENT, INC.
June 29, 1994 - May 5, 1995
RUSSO SECURITIES 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
(2/12/2018)
(2/6/2018)
(1/2/2018)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 1/11/2000
Limited Representative-Equity Trader ExamFINRA
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.
