Scott J. Cusumano
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.
Scott Jason Cusumano was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1997. Scott had worked at 22 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
April 3, 2014 - January 8, 2015
SPARTAN CAPITAL SECURITIES, LLC
April 17, 2013 - April 8, 2014
CAPE SECURITIES INC.
May 1, 2012 - April 19, 2013
GLOBAL ARENA CAPITAL CORP
June 1, 2011 - April 30, 2012
SW FINANCIAL
November 3, 2009 - June 1, 2011
FIRST MIDWEST SECURITIES, INC.
January 26, 2009 - November 12, 2009
EKN FINANCIAL SERVICES INC.
November 7, 2007 - May 8, 2008
J.D. NICHOLAS & ASSOCIATES, INC.
June 16, 2006 - October 29, 2007
BROOKVILLE CAPITAL PARTNERS
January 31, 2005 - June 19, 2006
WESTCAP SECURITIES, INC.
June 2, 2004 - January 7, 2005
ASG SECURITIES, INC.
May 5, 2003 - May 14, 2004
RICHMARK CAPITAL CORPORATION
November 5, 2002 - April 2, 2003
LH ROSS & COMPANY, INC.
March 21, 2002 - July 1, 2002
NEWBRIDGE SECURITIES CORPORATION
November 9, 2001 - November 8, 2002
DISCOVERY CAPITAL GROUP
January 10, 2001 - November 15, 2001
EMERSON BENNETT & ASSOCIATES
July 11, 2000 - September 22, 2000
AMERICAN INVESTMENT SERVICES, INC.
March 3, 2000 - March 1, 2001
RUMSON CAPITAL, LLC
August 2, 1999 - February 25, 2000
W.A. CAPITAL MARKETS
November 3, 1997 - August 19, 1999
GLENN MICHAEL FINANCIAL, INC.
August 1, 1997 - November 5, 1997
TAYLOR STUART FINANCIAL, INC.
March 18, 1997 - July 30, 1997
H.J. MEYERS & CO., INC.
February 5, 1997 - March 26, 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.
