Stephen J. Sullivan
Professional summary
Stephen James Sullivan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Stephen had worked at 14 firms, which includes SPARTAN CAPITAL SECURITIES LLC, SW FINANCIAL, WORDEN CAPITAL MANAGEMENT LLC, NEWBRIDGE SECURITIES CORPORATION, LEGEND SECURITIES INC., SIXTEEN SECURITIES INC., BROOKVILLE CAPITAL PARTNERS, WILMINGTON CAPITAL SECURITIES LLC, FIRST MIDWEST SECURITIES INC., J.P. TURNER & COMPANY L.L.C., WHITAKER SECURITIES LLC, GRANITE ASSOCIATES INC, LADENBURG THALMANN & CO. INC., LADENBURG CAPITAL MANAGEMENT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2019 - October 5, 2022
SPARTAN CAPITAL SECURITIES, LLC
May 8, 2018 - December 2, 2019
SW FINANCIAL
November 29, 2017 - May 8, 2018
WORDEN CAPITAL MANAGEMENT LLC
December 7, 2016 - November 22, 2017
NEWBRIDGE SECURITIES CORPORATION
March 30, 2015 - December 9, 2016
LEGEND SECURITIES, INC.
March 12, 2015 - March 20, 2015
SIXTEEN SECURITIES, INC.
February 17, 2015 - March 17, 2015
BROOKVILLE CAPITAL PARTNERS
May 21, 2014 - February 17, 2015
WILMINGTON CAPITAL SECURITIES, LLC
July 18, 2012 - May 22, 2014
BROOKVILLE CAPITAL PARTNERS
March 26, 2010 - August 2, 2012
FIRST MIDWEST SECURITIES, INC.
August 21, 2007 - March 26, 2010
J.P. TURNER & COMPANY, L.L.C.
July 26, 2006 - August 22, 2007
NEWBRIDGE SECURITIES CORPORATION
March 24, 2006 - September 6, 2006
WHITAKER SECURITIES LLC
January 14, 2005 - June 5, 2006
GRANITE ASSOCIATES, INC
November 20, 2002 - January 27, 2005
LADENBURG THALMANN & CO. INC.
November 2, 1998 - 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
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.
