Joseph E. O'shea
Professional summary
Joseph Edward O'shea JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Joseph is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Joseph had worked at 12 firms, which includes SPARTAN CAPITAL SECURITIES LLC, ARETE WEALTH ADVISORS LLC, ARETE WEALTH MANAGEMENT LLC, B. RILEY WEALTH ADVISORS INC., NATIONAL SECURITIES CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC, JHS CAPITAL ADVISORS LLC, R.M. STARK & CO. INC., HARRISON SECURITIES INC., THINKEQUITY LLC, CARNEGIE INVESTOR SERVICES INC., ROYCE INVESTMENT GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2022 - December 31, 2025
SPARTAN CAPITAL SECURITIES, LLC
July 21, 2022 - September 8, 2022
ARETE WEALTH ADVISORS, LLC
July 21, 2022 - September 8, 2022
ARETE WEALTH MANAGEMENT, LLC
September 15, 2014 - July 21, 2022
B. RILEY WEALTH ADVISORS, INC.
July 21, 2009 - July 21, 2022
NATIONAL SECURITIES CORPORATION
April 4, 2007 - July 13, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
December 5, 2006 - July 13, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
July 21, 2006 - November 30, 2006
JHS CAPITAL ADVISORS, LLC
July 12, 2002 - July 24, 2006
R.M. STARK & CO., INC.
February 4, 2002 - July 15, 2002
HARRISON SECURITIES, INC.
August 7, 2000 - February 6, 2002
THINKEQUITY LLC
May 11, 1999 - August 9, 2000
CARNEGIE INVESTOR SERVICES INC.
February 13, 1997 - May 10, 1999
ROYCE INVESTMENT GROUP, INC.
State Registrations and Notice Filings
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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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