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Francis K. Obrien

SPARTAN CAPITAL SECURITIES
Garden City, NY 11530
Some features on this profile are disabled
CRD#: 2864151
FO

Professional summary

Francis Kevin Obrien, who also goes by Francis Kevin O'brien, is a registered financial professional currently at SPARTAN CAPITAL SECURITIES, LLC located in Garden City, New York.

Francis is registered as a RR (Registered Representative) and started their career in finance in 1998. Francis has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Francis Kevin O'brien

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Francis Kevin Obrien's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 16, 2023 - Present

SPARTAN CAPITAL SECURITIES, LLC

Office #1: 595 Stewart Avenue 8th Floor, Garden City, NY, 11530
BD
CRD#: 146251
Garden City, NY
Past

December 12, 2017 - May 11, 2023

SW FINANCIAL

BD
CRD#: 145012
MELVILLE, NY
Past

January 29, 1999 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

January 29, 1999 - April 17, 2014

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
EAST SETAUKET, NY
Past

October 22, 1998 - February 19, 1999

MORGAN, TAYLOR & ASSOCIATES, INC.

BD
CRD#: 37447
MINEOLA, NY
Past

May 5, 1998 - October 22, 1998

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(6/11/2025)
RR
Georgia
(5/18/2023)
RR
Louisiana
(5/17/2023)
RR
Massachusetts
(8/29/2023)
RR
New Jersey
(5/17/2023)
RR
New York
(5/16/2023)
RR
North Carolina
(5/17/2023)
RR
Oregon
(5/16/2023)
RR
Texas
(5/17/2023)
RR
Virginia
(5/17/2023)
RR
Washington
(5/16/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 12/27/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/4/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SC
SPARTAN CAPITAL SECURITIES, LLC
SPARTAN CAPITAL MANAGEMENT LLC | SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251 / SEC#: , 8-67801

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
45 Broadway 19th Floor, New York, NY 10006
Mailing Address
45 Broadway 19th Floor, New York, NY 10006
Phone number
(212) 293-0123
Established
New York since 06/26/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SPARTAN CAPITAL HOLDINGS, LLCOWNER
BASIS, THEOLOGOS STAVROSCHIEF COMPLIANCE OFFICER / AML OFFICER2574740
DACOSTA, MAURICE MICHAELCFO / FINOP5500926
HEILPERN, GERALD MARTINMUNICIPAL SECURITIES PRINCIPAL241803
LOWRY, JOHN DENNISCEO/MANAGING MEMBER4336146
MONCHIK, KIM MARIECAO
SNOOZY, MARK JAMESROSFP2822325

Disclosures

Regulatory Event8
Civil Event1
Arbitration4

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.

Company Information

SPARTAN CAPITAL SECURITIES, LLC

CRD#: 146251Garden City, NY 11530

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