Marc A. Reda
Professional summary
Marc Augustus Reda was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Marc is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Marc had worked at 15 firms, which includes SPARTAN CAPITAL SECURITIES LLC, FIRST STANDARD FINANCIAL COMPANY LLC, PHX FINANCIAL INC., LAIDLAW & COMPANY (UK) LTD., CLARK DODGE & CO. INC., JOHN THOMAS FINANCIAL, PRESTIGE FINANCIAL CENTER INC., NATIONAL SECURITIES CORPORATION, CLARK STREET CAPITAL INC., PARKER FINANCIAL CORP., JOSEPH STEVENS & CO. INC., JOSEPH GUNNAR & CO. LLC, DPEC CAPITAL INC., TRADE.COM ONLINE SECURITIES INC., DALTON KENT SECURITIES GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2016 - March 22, 2022
SPARTAN CAPITAL SECURITIES, LLC
February 22, 2016 - May 2, 2016
FIRST STANDARD FINANCIAL COMPANY LLC
October 3, 2014 - January 28, 2016
PHX FINANCIAL, INC.
November 21, 2013 - October 31, 2014
LAIDLAW & COMPANY (UK) LTD.
May 21, 2013 - November 26, 2013
CLARK DODGE & CO., INC.
June 21, 2010 - May 20, 2013
JOHN THOMAS FINANCIAL
January 30, 2008 - July 16, 2010
PRESTIGE FINANCIAL CENTER, INC.
January 30, 2004 - February 19, 2008
NATIONAL SECURITIES CORPORATION
August 28, 2003 - February 2, 2004
CLARK STREET CAPITAL, INC.
February 5, 2003 - August 28, 2003
PARKER FINANCIAL CORP.
February 27, 2002 - January 22, 2003
JOSEPH STEVENS & CO., INC.
November 5, 2001 - February 13, 2002
JOSEPH GUNNAR & CO. LLC
April 2, 2001 - October 8, 2001
DPEC CAPITAL, INC.
February 3, 2000 - March 23, 2001
TRADE.COM ONLINE SECURITIES, INC.
October 12, 1999 - February 15, 2000
DALTON KENT SECURITIES GROUP, 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
Series 62
Date: 10/11/1999
Corporate Securities Limited 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 | 10 |
| Civil Event | 1 |
| Arbitration | 4 |
Red Flags
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