Dalila Costa-leroy
Professional summary
Dalila Costa-leroy was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Dalila Costa-leroy, who also goes by Dalila Costa, Dalila Costaleroy, Dalila Leroy, was a registered financial professional .
Dalila is a previously registered financial professional and started their career in finance in 1996. Dalila had worked at 11 firms and has passed the Series 63, Series 79TO, Series 3, 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
March 4, 2019 - December 22, 2022
SPARTAN CAPITAL SECURITIES, LLC
January 19, 2016 - March 6, 2019
NATIONAL SECURITIES CORPORATION
January 14, 2016 - January 21, 2016
WINDSOR STREET CAPITAL, LP
April 1, 2015 - January 11, 2016
ALEXANDER CAPITAL, L.P.
January 29, 2014 - April 10, 2015
GLOBAL ARENA CAPITAL CORP
September 11, 2009 - January 29, 2014
SAXONY SECURITIES, INC.
October 30, 2008 - September 15, 2009
BOLTON GLOBAL CAPITAL
March 16, 2006 - November 19, 2008
UBS FINANCIAL SERVICES INC.
March 1, 2002 - April 1, 2006
CITIGROUP GLOBAL MARKETS INC.
September 16, 1999 - March 6, 2002
PRUDENTIAL EQUITY GROUP, LLC
June 17, 1996 - August 19, 1999
CIBC WORLD MARKETS CORP.
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 |
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