Todd F. Sherman
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.
Todd Farrell Sherman was a registered financial advisor .
Todd is a previously registered financial advisor and started their career in finance in 1999. Todd had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2019 - July 9, 2020
SPARTAN CAPITAL SECURITIES, LLC
July 31, 2014 - July 22, 2016
TIGRESS FINANCIAL PARTNERS, LLC
April 17, 2013 - February 24, 2014
SETON SECURITIES GROUP, INC.
March 18, 2013 - July 12, 2019
FUSION ANALYTICS SECURITIES LLC
November 20, 2008 - August 12, 2010
R. F. LAFFERTY & CO., INC.
July 28, 2003 - April 26, 2013
R. F. LAFFERTY & CO., INC.
July 24, 2002 - July 29, 2003
BERRY-SHINO SECURITIES, INC.
July 9, 2001 - August 30, 2002
NATIONAL SECURITIES CORPORATION
August 19, 1999 - July 5, 2001
PHD CAPITAL
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.
