Robert V. Clarke
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.
Robert V Clarke, who also goes by Bob Clarke, Robert Vernon Clarke Sr, Robert Vernon Clarke, Robert Vernon Clerke Sr, Robert Clarke, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2000. Robert had worked at 9 firms and has passed the Series 63, Series 66, 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
February 16, 2016 - September 1, 2016
SPARTAN CAPITAL SECURITIES, LLC
September 1, 2015 - November 27, 2015
OLSON, CROSS & ALAMO LLC
June 12, 2012 - July 9, 2013
ARISTON WEALTH MANAGEMENT, L.P.
May 29, 2012 - September 14, 2015
WINDSOR STREET CAPITAL, LP
March 9, 2009 - April 8, 2010
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
June 19, 2008 - July 9, 2008
WINDSOR STREET CAPITAL, LP
May 22, 2006 - November 7, 2006
ESSEX NATIONAL SECURITIES, LLC
April 24, 2002 - June 3, 2004
CITICORP INVESTMENT SERVICES
October 9, 2000 - April 23, 2001
IDS LIFE INSURANCE COMPANY
October 9, 2000 - April 23, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
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
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.
