John Christoforidis
Professional summary
John Christoforidis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, John had worked at 11 firms, which includes SPARTAN CAPITAL SECURITIES LLC, WORDEN CAPITAL MANAGEMENT LLC, ROCKWELL GLOBAL CAPITAL LLC, BROOKSTONE SECURITIES INC., FIRST MIDWEST SECURITIES INC., GLOBAL ARENA CAPITAL CORP, CLARK DODGE & CO. INC., NEWBRIDGE SECURITIES CORPORATION, GUNNALLEN FINANCIAL INC, GIT SECURITIES CORPORATION, FIRST MONTAUK SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2019 - August 7, 2024
SPARTAN CAPITAL SECURITIES, LLC
July 8, 2016 - November 20, 2019
SPARTAN CAPITAL SECURITIES, LLC
November 18, 2015 - June 27, 2016
WORDEN CAPITAL MANAGEMENT LLC
April 13, 2012 - November 19, 2015
ROCKWELL GLOBAL CAPITAL LLC
November 10, 2011 - April 13, 2012
BROOKSTONE SECURITIES, INC.
June 21, 2010 - November 11, 2011
FIRST MIDWEST SECURITIES, INC.
May 27, 2009 - June 16, 2010
GLOBAL ARENA CAPITAL CORP
April 14, 2008 - June 1, 2009
CLARK DODGE & CO., INC.
April 6, 2006 - April 7, 2008
NEWBRIDGE SECURITIES CORPORATION
March 18, 2003 - April 5, 2006
GUNNALLEN FINANCIAL, INC
July 20, 2001 - March 12, 2003
GIT SECURITIES CORPORATION
June 4, 2001 - July 26, 2001
FIRST MONTAUK SECURITIES CORP.
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 | 8 |
| Civil Event | 1 |
| Arbitration | 4 |
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