David R. Pincus
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.
David Robert Pincus, who also goes by Dave Robert Pincus, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 9 firms and has passed the Series 63, Series 79TO, 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
January 2, 2018 - July 5, 2022
SPARTAN CAPITAL SECURITIES, LLC
October 2, 2008 - December 31, 2017
K.C. WARD FINANCIAL
February 28, 2008 - September 25, 2008
K.C. WARD FINANCIAL
March 1, 2006 - April 1, 2008
J.P. TURNER & COMPANY, L.L.C.
September 20, 2005 - March 1, 2006
SALOMON GREY FINANCIAL CORPORATION
June 13, 2005 - October 25, 2005
ITRADEDIRECT.COM CORP
July 25, 2002 - June 15, 2005
GUNNALLEN FINANCIAL, INC
April 19, 2002 - July 30, 2002
MILESTONE FINANCIAL SERVICES, INC.
July 16, 1998 - May 14, 2002
SEABOARD SECURITIES, INC.
April 18, 1997 - July 17, 1998
TASIN & COMPANY, 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered 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.
