Joseph F. Comiskey
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.
Joseph Francis Comiskey JR, who also goes by Joseph Comiskey Jr, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1996. Joseph had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - October 25, 2019
SPARTAN CAPITAL SECURITIES, LLC
February 28, 2008 - December 31, 2017
K.C. WARD FINANCIAL
January 3, 2005 - April 28, 2008
J.P. TURNER & COMPANY, L.L.C.
April 2, 2003 - December 31, 2004
AMERICAN CAPITAL PARTNERS, LLC
March 19, 2003 - May 1, 2003
GUNNALLEN FINANCIAL, INC
January 3, 2003 - March 20, 2003
AMERICAN CAPITAL PARTNERS, LLC
April 10, 2001 - December 31, 2002
MILESTONE FINANCIAL SERVICES, INC.
March 26, 1997 - April 20, 2001
SEABOARD SECURITIES, INC.
July 8, 1996 - February 20, 1997
STERLING FOSTER & COMPANY, 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.
