Theologos S. Basis

SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC

New York, NY 10006

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CRD#: 2574740

Professional summary

Theologos Stavros Basis, who also goes by Theo Basis, Theo Stavros Basis, is a registered financial advisor currently at SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC located in New York, New York and SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.

Theologos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Theologos has worked at 14 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 9, Series 10, Series 53, Series 14, Series 8 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Theo Basis | Theo Stavros Basis

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) - RIA

Click below to view Theologos Stavros Basis's 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

April 16, 2025 - Present

SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC

Office #1: 45 Broadway 19th Floor, New York, NY 10006

RIA

CRD#: 154632

New York, NY

Current

March 27, 2025 - Present

SPARTAN CAPITAL SECURITIES, LLC

Office #1: 45 Broadway 19th Floor, New York, NY 10006

CRD#: 146251

New York, NY

Past

November 15, 2021 - February 28, 2025

LAIDLAW WEALTH MANAGEMENT LLC

RIA

CRD#: 150040

NEW YORK, NY

Past

November 15, 2021 - February 28, 2025

LAIDLAW & COMPANY (UK) LTD.

CRD#: 119037

NEW YORK, NY

Past

April 6, 2021 - August 17, 2021

VANDERBILT ADVISORY SERVICES

RIA

CRD#: 116537

WOODBURY, NY

Past

April 5, 2021 - August 17, 2021

VANDERBILT SECURITIES, LLC

CRD#: 5953

WOODBURY, NY

Past

July 8, 2019 - March 30, 2021

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

DES MOINES, IA

Past

June 27, 2019 - March 30, 2021

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

August 15, 2011 - October 26, 2018

FLAGSTAR ADVISORS

RIA

CRD#: 104233

New York, NY

Past

August 4, 2011 - October 26, 2018

FLAGSTAR ADVISORS

CRD#: 104233

New York, NY

Past

June 10, 2009 - January 19, 2010

TD WEALTH MANAGEMENT SERVICES INC.

RIA

CRD#: 6940

PHILADELPHIA, PA

Past

June 8, 2009 - January 19, 2010

TD WEALTH MANAGEMENT SERVICES INC.

CRD#: 6940

PHILADELPHIA, PA

Past

September 13, 2004 - July 19, 2005

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

October 16, 2000 - December 17, 2008

EQUITABLE ADVISORS, LLC

CRD#: 6627

SYRACUSE, NY

Past

October 6, 1998 - September 29, 2000

W.J. NOLAN & COMPANY, INC.

CRD#: 16465

NEW YORK, NY

Past

July 25, 1996 - September 3, 1998

J.W. BARCLAY & CO., INC.

CRD#: 23350

WOODBRIDGE, NJ

Past

March 22, 1995 - July 22, 1996

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

New Jersey
(3/31/2025)

IAR

New Jersey
(4/16/2025)

New York
(3/27/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/19/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/22/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/21/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 53

Date: 2/22/2002

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 14

Date: 1/25/1999

Compliance Officer Examination

Principal/Supervisory Exam

Series 8

Date: 11/25/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Date: 1/25/1995

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC

SCS ADVISORY SERVICES LLC. | SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC

CRD#: 154632 / SEC#:

Connecticut

Registered Investment Advisory firm - (1/5/2022 Approved)

New Jersey

Registered Investment Advisory firm - (1/4/2022 Approved)

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Contact information

Main Address

45 Broadway 19th Floor, New York, NY 10006

Mailing Address

Phone number

(212) 293-0123

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	20
AUM (Assets Under Management)	$ 6,741,000

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.

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Theologos S. Basis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Theologos Stavros Basis's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPARTAN CAPITAL SECURITIES, LLC

LAIDLAW WEALTH MANAGEMENT LLC

LAIDLAW & COMPANY (UK) LTD.

VANDERBILT ADVISORY SERVICES

VANDERBILT SECURITIES, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

FLAGSTAR ADVISORS

FLAGSTAR ADVISORS

TD WEALTH MANAGEMENT SERVICES INC.

TD WEALTH MANAGEMENT SERVICES INC.

MONY SECURITIES CORPORATION

EQUITABLE ADVISORS, LLC

W.J. NOLAN & COMPANY, INC.

J.W. BARCLAY & CO., INC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/19/1995

Series 63

Date: 5/22/1995

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/21/1995

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 53

Date: 2/22/2002

Series 14

Date: 1/25/1999

Series 8

Date: 11/25/1998

Series 24

Date: 1/25/1995

FINRA

Nasdaq Stock Market

Current Firm

SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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