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GT

George C. Tsiorvas

SPARTAN CAPITAL SECURITIES
Garden City, NY 11530
Some features on this profile are disabled
CRD#: 2562365
GT

Professional summary

George Christopher Tsiorvas, who also goes by George Christopher, is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in Garden City, New York.

George is registered as a RR (Registered Representative) and started their career in finance in 1995. George has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

George Christopher

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view George Christopher Tsiorvas's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 18, 2015 - Present

SPARTAN CAPITAL SECURITIES, LLC

Office #1: 595 Stewart Avenue 8th Floor, Garden City, NY, 11530
BD
CRD#: 146251
Garden City, NY
Past

June 20, 2007 - November 17, 2015

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
MELVILLE, NY
Past

August 1, 2000 - June 18, 2007

R.M. STARK & CO., INC.

BD
CRD#: 7612
LAKE WORTH BEACH, FL
Past

September 28, 1999 - July 18, 2000

CARNEGIE INVESTOR SERVICES INC.

BD
CRD#: 8295
NEW YORK, NY
Past

October 24, 1996 - September 8, 1999

ROYCE INVESTMENT GROUP, INC.

BD
CRD#: 10494
WOODBURY, NY
Past

October 30, 1995 - November 19, 1996

KENSINGTON WELLS INCORPORATED

BD
CRD#: 30570

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(11/18/2015)
RR
California
(11/18/2015)
RR
Colorado
(11/18/2015)
RR
Connecticut
(11/19/2015)
RR
Florida
(11/18/2015)
RR
Michigan
(11/18/2015)
RR
Missouri
(11/18/2015)
RR
New Jersey
(11/18/2015)
RR
New York
(11/18/2015)
RR
Ohio
(11/18/2015)
RR
South Carolina
(3/14/2019)
RR
Texas
(12/1/2015)
RR
West Virginia
(11/18/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 11/17/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/26/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/3/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SC
SPARTAN CAPITAL SECURITIES, LLC
SPARTAN CAPITAL MANAGEMENT LLC | SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251 / SEC#: , 8-67801

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
45 Broadway 19th Floor, New York, NY 10006
Mailing Address
45 Broadway 19th Floor, New York, NY 10006
Phone number
(212) 293-0123
Established
New York since 06/26/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SPARTAN CAPITAL HOLDINGS, LLCOWNER
BASIS, THEOLOGOS STAVROSCHIEF COMPLIANCE OFFICER / AML OFFICER2574740
DACOSTA, MAURICE MICHAELCFO / FINOP5500926
HEILPERN, GERALD MARTINMUNICIPAL SECURITIES PRINCIPAL241803
LOWRY, JOHN DENNISCEO/MANAGING MEMBER4336146
MONCHIK, KIM MARIECAO
SNOOZY, MARK JAMESROSFP2822325

Disclosures

Regulatory Event8
Civil Event1
Arbitration4

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.

Company Information

SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251Garden City, NY 11530

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