David H. Page
Professional summary
David Hilton Page was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David Hilton Page, who also goes by David Page, was a registered financial advisor .
David is a previously registered financial advisor and started their career in finance in 1997. David had worked at 12 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2023 - July 31, 2023
SPARTAN CAPITAL SECURITIES, LLC
August 6, 2018 - May 11, 2023
SW FINANCIAL
August 10, 2016 - February 7, 2017
PHX FINANCIAL, INC.
March 30, 2015 - February 11, 2016
LEGEND SECURITIES, INC.
March 12, 2015 - March 20, 2015
SIXTEEN SECURITIES, INC.
May 22, 2013 - March 13, 2015
BROOKVILLE CAPITAL PARTNERS
October 25, 2010 - October 12, 2011
JOHN THOMAS WEALTH MANAGEMENT INC.
April 7, 2008 - May 28, 2013
JOHN THOMAS FINANCIAL
May 20, 2005 - April 8, 2008
INVESTORS CAPITAL CORP.
May 18, 2005 - April 8, 2008
INVESTORS CAPITAL CORP.
March 1, 2005 - May 26, 2005
JOSEPH GUNNAR & CO. LLC
February 23, 2004 - May 26, 2005
JOSEPH GUNNAR & CO. LLC
November 20, 2002 - February 24, 2004
LADENBURG THALMANN & CO. INC.
April 11, 1997 - November 20, 2002
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered 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.
