Robert J. Marcus
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.
Robert Joseph Marcus JR, who also goes by Rob Marcus Jr, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1995. Robert had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2014 - October 13, 2018
SPARTAN CAPITAL SECURITIES, LLC
July 7, 2010 - January 21, 2014
ROCKWELL GLOBAL CAPITAL LLC
June 24, 2009 - June 25, 2010
NEWPORT COAST SECURITIES, INC.
February 13, 2006 - July 15, 2008
BROOKVILLE CAPITAL PARTNERS
May 10, 2002 - March 8, 2006
BENSON YORK GROUP, INC.
October 24, 2000 - March 20, 2002
ADVANCED PLANNING SECURITIES, INC.
May 18, 2000 - November 3, 2000
WHITEHALL WELLINGTON INVESTMENTS, INC.
April 15, 1998 - February 19, 1999
CAMBRIDGE CAPITAL, LLC
September 24, 1997 - March 11, 1998
FOSTER JEFFRIES SECURITIES, LLC
June 12, 1997 - September 26, 1997
PACIFIC CORTEZ SECURITIES INCORPORATED
May 12, 1997 - May 28, 1997
INSTITUTIONAL EQUITY CORPORATION
February 6, 1996 - April 22, 1997
RENAISSANCE FINANCIAL SECURITIES CORP.
September 8, 1995 - February 29, 1996
LADENBURG CAPITAL MANAGEMENT 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
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
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.
