Richard A. Saitta
Professional summary
Richard Alfred Saitta, who also goes by Richard A Saitta, is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1995. Richard has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Alfred Saitta's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 19, 2016 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006July 30, 2007 - December 9, 2016
REGAL SECURITIES, INC.
September 23, 2004 - July 31, 2007
BROOKSTREET SECURITIES CORPORATION
November 6, 2001 - September 23, 2004
CARDINAL CAPITAL MANAGEMENT, INC.
March 31, 1998 - December 31, 2001
EMERSON BENNETT & ASSOCIATES
December 22, 1997 - February 18, 1998
FAIRCHILD FINANCIAL GROUP, INC.
August 7, 1995 - December 23, 1997
MONROE PARKER 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
(12/12/2016)
(11/28/2016)
(11/19/2016)
(11/21/2016)
(12/6/2016)
(3/14/2019)
(12/27/2016)
(11/19/2016)
(11/19/2016)
(11/22/2022)
(4/4/2022)
(11/19/2016)
(4/7/2022)
(12/14/2016)
(11/29/2016)
(12/12/2016)
Exams
FINRA
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
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