Caeron A. Mcclintock
Professional summary
Caeron Arlington Mcclintock was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Caeron is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Caeron had worked at 10 firms, which includes SPARTAN CAPITAL SECURITIES LLC, LEGEND SECURITIES INC., ROTHSCHILD LIEBERMAN LLC, ALLIED MILLENNIAL PARTNERS LLC, BROOKSTONE SECURITIES INC., J.P. TURNER & COMPANY L.L.C., THINKEQUITY LLC, JOSEPH STEVENS & CO. 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
March 21, 2016 - October 7, 2016
SPARTAN CAPITAL SECURITIES, LLC
September 25, 2015 - March 14, 2016
LEGEND SECURITIES, INC.
April 30, 2015 - September 16, 2015
ROTHSCHILD LIEBERMAN LLC
April 23, 2013 - April 30, 2015
ALLIED MILLENNIAL PARTNERS, LLC
June 28, 2012 - April 23, 2013
LEGEND SECURITIES, INC.
June 9, 2011 - June 21, 2012
BROOKSTONE SECURITIES, INC.
November 6, 2008 - June 7, 2011
J.P. TURNER & COMPANY, L.L.C.
April 18, 2008 - September 5, 2008
THINKEQUITY LLC
July 7, 2004 - April 15, 2008
JOSEPH STEVENS & CO., INC.
November 20, 2002 - July 30, 2004
LADENBURG THALMANN & CO. INC.
April 14, 1999 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
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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
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