Kostas Tsamos
Professional summary
Kostas Tsamos was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kostas Tsamos, who also goes by Gus Tsamos, was a registered financial professional .
Kostas is a previously registered financial professional and started their career in finance in 1996. Kostas had worked at 11 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 28, 2016 - December 22, 2022
SPARTAN CAPITAL SECURITIES, LLC
February 19, 2014 - January 26, 2016
SOUTHEAST INVESTMENTS, N.C., INC.
February 22, 2007 - March 4, 2014
CALDWELL INTERNATIONAL SECURITIES
August 4, 2005 - February 21, 2007
HUNTER SCOTT FINANCIAL LLC.
August 18, 1999 - August 25, 2005
J.P. TURNER & COMPANY, L.L.C.
October 27, 1998 - August 25, 1999
MILLENNIUM SECURITIES CORP.
January 1, 1998 - November 13, 1998
G.F.B. SECURITIES, INC.
May 29, 1997 - December 22, 1997
PACIFIC CORTEZ SECURITIES INCORPORATED
April 18, 1997 - May 28, 1997
INSTITUTIONAL EQUITY CORPORATION
November 5, 1996 - April 14, 1997
JARON EQUITIES CORP.
October 4, 1996 - November 15, 1996
INVESTORS ASSOCIATES, 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 | 10 |
| Civil Event | 1 |
| Arbitration | 4 |
Red Flags
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