James W. Flower
Professional summary
James William Flower was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, James had worked at 16 firms, which includes SPARTAN CAPITAL SECURITIES LLC, SW FINANCIAL, LAIDLAW & COMPANY (UK) LTD., GLOBAL ARENA CAPITAL CORP, PRESTIGE FINANCIAL CENTER INC., BROOKSTONE SECURITIES INC., OBSIDIAN FINANCIAL GROUP LLC, WESTROCK ADVISORS INC., J.P. TURNER & COMPANY L.L.C., GRANITE ASSOCIATES INC, CONTINENTAL BROKER-DEALER CORP., HARRISON SECURITIES INC., WHITEHALL WELLINGTON INVESTMENTS INC., TASIN & COMPANY INC., DUKE & CO. INC., LADENBURG CAPITAL MANAGEMENT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 13, 2019 - June 25, 2021
SPARTAN CAPITAL SECURITIES, LLC
December 1, 2015 - June 3, 2019
SW FINANCIAL
May 9, 2014 - December 14, 2015
LAIDLAW & COMPANY (UK) LTD.
November 3, 2010 - May 12, 2014
GLOBAL ARENA CAPITAL CORP
October 29, 2009 - November 2, 2010
PRESTIGE FINANCIAL CENTER, INC.
August 26, 2009 - November 11, 2009
BROOKSTONE SECURITIES, INC.
April 30, 2008 - September 10, 2009
PRESTIGE FINANCIAL CENTER, INC.
April 9, 2008 - May 30, 2008
OBSIDIAN FINANCIAL GROUP, LLC
April 25, 2006 - April 15, 2008
WESTROCK ADVISORS, INC.
August 18, 2004 - May 18, 2006
J.P. TURNER & COMPANY, L.L.C.
August 4, 2004 - August 6, 2004
WESTROCK ADVISORS, INC.
January 6, 2004 - July 23, 2004
GRANITE ASSOCIATES, INC
April 21, 2003 - January 21, 2004
CONTINENTAL BROKER-DEALER CORP.
January 2, 2001 - May 20, 2003
HARRISON SECURITIES, INC.
September 11, 1998 - December 31, 2000
WHITEHALL WELLINGTON INVESTMENTS, INC.
January 16, 1998 - September 25, 1998
TASIN & COMPANY, INC.
December 3, 1997 - January 22, 1998
DUKE & CO., INC.
September 9, 1997 - November 20, 1997
LADENBURG CAPITAL MANAGEMENT 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
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