Chester E. Scotland
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.
Chester E Scotland, who also goes by Chet Scotland, Chett Scotland, was a registered financial professional .
Chester is a previously registered financial professional and started their career in finance in 2000. Chester had worked at 9 firms and has passed the Series 63, Series 7TO, 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
May 24, 2024 - February 6, 2025
SPARTAN CAPITAL SECURITIES, LLC
December 10, 2019 - July 7, 2020
SW FINANCIAL
February 15, 2019 - December 17, 2019
WORDEN CAPITAL MANAGEMENT LLC
January 31, 2002 - July 25, 2002
SANDS BROTHERS & CO., LTD.
April 30, 2001 - October 18, 2001
CITICORP INVESTMENT SERVICES
February 8, 2001 - March 23, 2001
CONTINENTAL BROKER-DEALER CORP.
December 14, 2000 - January 30, 2001
SCHNEIDER SECURITIES, INC.
May 22, 2000 - June 7, 2000
MASON HILL & CO., INC.
May 4, 2000 - August 1, 2000
BISHOP, ROSEN & CO., 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
Series 7TO
Date: 3/11/2024
General Securities Representative ExaminationCurrent 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.
