Michael J. Russo
Professional summary
Michael Joseph Russo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Michael had worked at 12 firms, which includes SPARTAN CAPITAL SECURITIES LLC, CRAFT CAPITAL MANAGEMENT LLC, LAIDLAW & COMPANY (UK) LTD., GLOBAL ARENA CAPITAL CORP, PRESTIGE FINANCIAL CENTER INC., S.W. BACH & COMPANY, HARRISON SECURITIES INC., EHRENKRANTZ KING NUSSBAUM, WEATHERLY SECURITIES CORPORATION, TASIN & COMPANY INC., ROYCE INVESTMENT GROUP INC., FIRST ASSET MANAGEMENT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2019 - April 4, 2024
SPARTAN CAPITAL SECURITIES, LLC
July 27, 2017 - August 8, 2019
CRAFT CAPITAL MANAGEMENT LLC
November 14, 2013 - February 18, 2016
LAIDLAW & COMPANY (UK) LTD.
November 3, 2010 - November 23, 2013
GLOBAL ARENA CAPITAL CORP
January 17, 2007 - November 2, 2010
PRESTIGE FINANCIAL CENTER, INC.
April 27, 2004 - January 16, 2007
S.W. BACH & COMPANY
November 6, 2001 - April 27, 2004
HARRISON SECURITIES, INC.
October 22, 2001 - November 20, 2001
EHRENKRANTZ KING NUSSBAUM
September 24, 1999 - October 22, 2001
WEATHERLY SECURITIES CORPORATION
February 11, 1999 - October 19, 1999
TASIN & COMPANY, INC.
October 5, 1998 - January 27, 1999
ROYCE INVESTMENT GROUP, INC.
June 29, 1998 - August 31, 1998
FIRST ASSET 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
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.
